IFSP Branch encourages stakeholders to respond to IOSCO survey on index provider conduct

On October 13, 2022, the International Organization of Securities Commissions (IOSCO) published a survey to help IOSCO better understand index provider conduct (the Survey). The Survey is intended for asset managers and index providers, and covers the following areas:

  • the role of asset managers in relation to indices and index providers
  • the role and processes of index providers in the provision of indices
  • the potential impact of administrative errors on funds
  • potential index provider conflicts of interest in relation to funds
  • governance and other processes during exceptional market events or shocks, such as the 2020 COVID-19 market shock and the 2022 Russian market shock

Survey responses will remain confidential and anonymous and will assist IOSCO in formulating regulatory approaches relating to these matters. 

To complete the Survey, asset managers and index providers must submit their responses directly to [email protected]. The deadline for responses is November 26, 2022.

Questions:

Fred Gerra, Senior Legal Counsel, Investment Funds and Structured Products Branch
[email protected]