Investment Business Standards

Association for Investment Management and Research AIMR Standards AIMR has promulgated several codes of practice for investment business. Of particular note are:-
  • Performance Presentation Standards (PPS)
  • Global Investment Performance Standards (GIPS)
  • Soft Dollar Standards
  • AIMR Code of Ethics
LIBA LIBA stock lending/borrowing code London Investment Bankers' Association standards

Commerce Standards

American Institute of Certified Public Accountants CPA Webtrust
Assurance Standards
Webtrust is the AICPA's initiative to promote trust in e-commerce by articulating standards for consumer information protection, transaction integrity and sound business practices. E-businesses who agree to abide by the code can kitemark their websites as long as they continue to comply. Compliance is enforced through periodic review by an independent accountant
BSI British Standards Institute BSI sets standards for services and enterprises in the UK
Institute of Trading Standards Administration Trading Standards Central A "one stop shop" for consumer protection information in the UK
Trusted Shops Trustedshops.com An e-commerce protection and kitemarking service
Trust UK Trust UK A kitemarking service for UK E-businesses sponsored by the Government
Which Webtrader A kitemarking service for UK E-businesses sponsored by the Consumers' Association
Australian Standards Trading Standards A consumer awareness site from Australia
Financial Stability Forum FSF Compendium of Standards A common reference for the various economic and financial standards that are internationally accepted as relevant to sound, stable and well-functioning financial systems

Regulation Standards

IOSCO 30 Principles of Securities Regulation Internationally agreed principles for the protection of investors, ensuring that markets are fair, efficient and transparent and the reduction of systemic risk
The Basle Committee 25 Core Principles for Effective Banking Supervision An international toolkit of high level standards for banking regulators
Data Protection Registrar The Eight Data Protection Principles Data Protection Act 1998 principles for UK privacy legislation governing those who process information about individuals

Governance Standards

IoD/E&Y Independent Director Site sponsored by Ernst & Young and the Institute of Directors with useful information about the responsibilities of non-executives
Governance Publishing UK Governance A useful site for those concerned with corporate governance issues, featuring a directory of relevant links
ICAEW The Turnbull Report Guidance for Directors on Internal Controls, published by the Institute of Chartered Accountants
BCI BC Standards Ten Certification Standards for Business Continuity Practitioners from the Business Continuity Institute

Verification Standards

ICAEW FRAG 21 Audit Release 4/97 - Standards for audit review of internal controls in investment management activities such as custodianship


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