*Letters

SIA Submits Comments to IOSCO on Market Intermediaries

Published on:
July 15, 2005

The Federal Regulation Committee of the Securities Industry Association (SIA)provides comments to the International Organization of Securities Commissions (IOSCO)on the consultation report, Compliance function at Market Intermediaries. The consultation report makes recommendations to assist market intermediaries to increase the effectiveness of their compliance programs.

The Committee identifies parts of the consultation report that may be inconsistent with the practices or requirements of the US, or those provisions that do not reflect the nature of compliance functions in the US.

*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

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