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STOXX claims compliance with the International Organization of Securities Commission’s (IOSCO) Principles for Financial Benchmarks for all STOXX-branded indices (including iSTOXX).

 

The objective of the IOSCO Principles for Financial Benchmarks (“IOSCO Principles”) is to create an overarching regulatory framework for benchmarks used in global financial markets. The internationally valid guidelines focus on the methodology, transparency and overall quality of benchmarks as well as the overall governance arrangements and accountability for index providers and other relevant bodies.

 

STOXX also claims compliance with the ESMA-EBA Principles for Benchmark-Setting Processes in the EU issued by the European Securities and Markets Authority and European Banking Authority (ESMA 2013/659, or “ESMA-EBA Principles”). The ESMA-EBA Principles aim to mitigate governance and incentive issues pertaining to Benchmarks provided by private sector Benchmark Administrators such as STOXX.

 

STOXX Directors ensures the administration of the STOXX-branded indices in compliance with the recommendations and in line with the principle of proportionality set forth in the IOSCO and ESMA-EBA principles. This includes responsibility for designing, implementing and monitoring compliance with policies and procedures that achieve compliance with the IOSCO and ESMA-EBA Principles. They are also responsible for preparing a statement of compliance with the IOSCO and ESMA-EBA Principles, including the responses to the individual IOSCO and ESMA-EBA Principles, which is free of misstatement, whether due to fraud or error. It also includes selecting the criteria against which to measure the fair assertion of the statement of compliance.


STOXX's statements of compliance, which outline the full list of principles and how STOXX ensures its compliance with them, as well as other relevant documents, can be found below.
 

Certain STOXX indices are also compliant with the ESMA UCITS guidelines and technical documentation is available on request.

 

For any regulatory queries please contact regulations@stoxx.com or +41 58 399 4134

 

 

 

Declarations of Compliance Download
Press Release July 31, 2014
IOSCO Letter of Compliance
Supporting Documents  
Complaints Procedure  
Governance Committees

 

 Audit Reports  
IOSCO and ESMA-EBA Compliance Audit Report - May 2016