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国际资讯监管与政策

国际证券委员会呼吁建立Fintech网络和ICO监管框架

国际资讯监管与政策

国际证券委员会呼吁建立Fintech网络和ICO监管框架

在本周于布达佩斯召开的年度会议上,国际证券委员会(后文简称Iosco)表示,金融科技和数字化将被纳入该组织明年重点关注的四大领域。

去年,这家全球政策机构发布了一份金融科技研究报告。报告指出,如今金融科技与证券市场多个关键业务领域的交集日渐增多,比如融资平台、智能投顾、债券交易创新和分布式账本技术应用等等。

Iosco注意到,目前全球各国正在积极采用不同方式应对金融科技带来的监管挑战,包括设立专门的金融科技办公室,创建监管沙盒,以及开设实验室与加速器。

不过,在监管领域也出现了一些不同的声音。就在本周,新上任的美国证券交易委员会专员Hester Peirce就表示,全球化金融科技监管沙盒会导致监管机构和被监管主体的关系过于紧密,我们应当在可控和一定距离范围之内进行监管,给予非银金融机构一个公平的生存环境。

相关阅读:《SEC官员对金融科技监管沙盒机制提出质疑

所以Iosco提议,应当建立一个全球性金融科技网络,分享有关金融科技体系新兴技术和风险的相关知识信息,在不抑制创新的情况下接近市场的最佳途径达成共识。 Iosco表示,该网络将成为监管机构分享经验和就监管问题、趋势和新兴风险交流信息的论坛。

对于ICO的监管,Iosco也建议采取类似的策略,并制定支持框架以帮助组织成员处理可能影响投资者和涉及消费者保护的国内和跨境问题。

 

International securities regulators are to establish a 'Fintech Network' to share information and knowledge on emerging technologies and risks to the financial system. At its annual meeting in Budapest this week, the International Organisation of Securities Commissions (Iosco) earmarked the challenges of fintech and digitilsation as one of four top areas of focus for the coming year.

The global policy body last year released a financial technology research report which highlighted the the growing intersection between fintech and securities markets across a number of critical business areas, including financing platforms, robo-advisory services, innovations in bond trading and applications of distributed ledger tech.

It noted the way in which regulators are adopting differing tactics to deal with emerging fintech platforms, from setting up dedicated fintech offices, creating sandbox frameworks, and opening labs and accelerators.

The divergence in views was brought to the fore this week when newly-established SEC Commissioner Hester Peirce took a swipe at the global trend for establishing fintech sandboxes, arguing that they place regulators and the regulated too close together and instead calling for an arms-length relationship with non-bank firms.

The aim of the Fintech Network is to pull together the different strands and reach a consensus on the best ways to approach the market without stifling innovation. Iosco says the Network will act as a forum for regulators to share experiences and exchange information on regulatory issues, trends, and emerging risks.

A similar tactic is being adopted in an attempt to clarify the regulatory approach to Initial Coin Offerings (ICOs), with the development of a Support Framework to assist members as they consider how to address the domestic and cross-border issues that could impact investors or consumer protection.


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