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TRANSCRIPT
REpORTS ON THE OBSERVANCE OF STANDARDS AND CODES (ROSCs)
Update by World Bank Stalfon ROSe Modules
January 2010
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Introduction
The Report on (he Observance of Standards and Codes (ROSC) initiative was launched in 1999 as a prominent component of efforts to strengthen the international financial architecture. The initiative aims at promoting greater financial stability, both domestically and internationally, through the development, dissemination, adoption, and implementation of international standards and codes.
The ROSC initiative covers 12 areas and associated standards, which the Bank and Fund Boards recognized as relevant for their work. These standards relate to policy transparency, financial sector regulation and supervision, and market infrastructure:
• two areas are assessed by the Fund (Data Transparency and Fiscal Transparency);
• six areas arc mainly assessed jointly by the Bank and the Fund under the FSAP Program (Banking Supervision, Monetary and Financial Policy Transparency, Securities, Insurance, Payments and Settlements Systems, and Anti -money Laundering and Combating the Financing of Terrorism (AMLlCFT1
); and
• four areas are assessed by the Bank (Corporate Governance, Accounting, Auditing, and Insolvency and Creditor Rights).
Through the last day of December, 2009, 1099 assessments (including updates) had bcen completed or were underway in 176 countries and regional entities. As of that date, 743 assessments had been published.
I Most AM UC FT assessments are being conducted by the FATF or FATF-style regional bodies
Standards and Codes!
Policy Transparency
• Data Transparency: Special Data Di.~.~emination Standard and General Data Dissemination System (lMF)
• Fiscal Transparency: Code of Good Practices on Fiscal Transparency (IMF)
• Monetary and Financial Policy Transparency: Code of Good Practices on Transparency in Monetary and Financial Policies (lMF)
Financial Sector Regulation and SupenTision
• Banking Supervision : Core Principles fOr Efkctive Banking Supervision (Basel Committee on Banking Supervision)
• Securities: Objectives and Principles for Securities Regulation (International Organization of Securities Commission)
• Insurance: Insurance Supervisory Principle.~ (International Association of Insurance Supervisors)
• Payments Systems: Core Principles fOr Systematically Important Payment Systems (Committee on Payments and Settlements Systems), complemented by Recommendations (or Securities Settlement Systems (Committee on Payments and Settlements Systems and International Organization of Securities Commission) for countries with significant securities trading
• Anti-money Laundering and Combating tbe Financing of Terrorism: 40+2. Recommendations (Financial Action Task Force)
Market Infrastructure
• Corporate Governance: Principles of Corporate Governance (Organization for Economic Cooperation and Development)
• Accounting: International Accounting Srandards (International Accounting Standards Board)
• Auditing: International Standards on Auditing (International Federation of Accountants)
• Insolvency and Creditor Rights: A standard based on the Principles/or Effective Insolvency and Creditor Rights Systems (World Bank) and the Recommenda(ion.~ a/the Legislative Guide on Insolvency Law (United Nations Commission on International Trade Law) 2
1. Organizations shown in parentheses are the standard setting bodies. 2. Rank and UNCITRAL staff, in consultation with Fund staff finalized such a standard.
Summary Table: ROSe Modules
Completed, Published, and Underway As of end-December 2009
Completed 104 Data Dissemination Published 101
Underway 6 Completed 107
Fiscal Transparency Published 100 Underway 3 Comple/ed 98
Transparency in Monetary and Fiscal Policies Published 64 UndefVrlay 2
Comp/eted 165 Banking Supervision Published 105
Underway 11
Completed 72
Securities Regulation Published 53 Underway 3 Completed 63
Insurance Supervision Published 49 Underway 6 Comp/eted 88
Payment & Settlement Systems Published 57
Underway 4 Completed 87
AMUCFT Published 68 Underway 47 Completed 100
Accounting & Auditing Published 81
Underway 10 Completed 71
Corporate Governance Published 57
Underway 3 Completed 40
Insolvency and Creditors Rights Published 8
Underway 9
Completed 995 Total Published 743
Underway 104
Annex ROSe Modules
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AMUCFT " Accounting and AudrIing Corporale Governance Com- Pub- Under· pleled li$hed way
Insolvency and Credi!OfS Righl$
Com- Pub- Under- Com- Pub- Under-pleted "tied way pleted"he<! way
c~· ... "" Pub- Uooer· hshed
. -1 ' j ..... .c..... '
: ~~I;t~~ ~::~F~!~!-- !~t=~ =· =~I~·· ~--, I v" ---.:::-rF :;;;+-$; ::::'-$::::'-J J_... J:'J::! _ ~J=_l. 1- "=":!.-- --
Nov·OS ! Dec-05 i ................. .!.. ................ .. _. __ ._.... ! ............... _ ••• ·············· .. t····- ..................... ::::j~~:~~:-.i::~~~.:~ .•.... :~~==: ................... i. • ••••••••••••••••• t
j .... ·.00.·.·.·.·"i:n3-+-·_···· :............. . ... ___ ......... . ......... ,.-... . .... -.. -.-~ ..... --. . .-.. - ........ .i--.-.-.- --.
=-!----i-- . Y.. Joo-05 i Dec-OS Joo-05 i feb-06 ,I
Det-08 J~ '1 __ 1. I Jun.09 i Jun.04 i Joo-04 I ---+------i--- ·t --.---t---
_ ~.06 i _ t- CMaf.Qg-;-J~'!:~q --... --Joo.OO~ -J~7 ---== --- ~ --- ... -t=--- ---M'.1=:- j - - • ---- 1 Ye. J~_ • Jan-06 _ ____ _ Apf.()4 , ~.()4 .... j;;;;;:oo:.t ............... ---... -.. Se~2 }an-05 _ _ _ • :_. 1 ___ . _ Dec~!. Ja n-02 _ Jun-OO Feb-O? .• _.... . ................. -! •••
·-""- :al1 JurHl; t--- -- -- T -y;'-- -~T;: L.----- -:~~ ~ ~t.==I'-: i i I Joo.05 i~r·-- ~ i Dec-05 , __ _
::~;;§l~~;~£J··· = 
Rose Modulestrll
(as of end-December, 2(09)
Economy
Page 11 of 14
E~y
--..... _ ................. . Sou1h Aflica ....... ' .................... .. Sooth M ica
.~-.-.-Srilanb
"" ... 51. \TocenI..,.;I.,.,. ~
SwazAnd ................... __ ...... _ .. """" Swilzftrtand .................. _-, ............. " , ............. _--------.... -
...... ~ .. ~.~.~.-------.-T~~kist"" Tanzania
T ......
Tlmor Leila .. --... -....... _. __ .. _----_._._-_ ... _ ... ...... !.~ .......................... " ......... -.-.--.... - .. . ...... !~.~~.~ .. ~_~-1? .... _._._ ... __
Tunisia ._. -_ .•... -.. _"" .............. _--.... _ ... ----Tunisia T..,. T_ ,""oy Turtmeris~ --_ ........ __ ._ .. __ ._-----Uganda ...... _ ... __ ._
Ukraine Ukraillll
United Arab Emir ....
Uriled AnIb Emiralel United Arab EmQi .. 1JniIed fvfIb ElllinWel
-~~~- .. _----Un~ed Stales
Uzbekistan
Insolvency and Cfed~ors
Payment SYStems AMUCFT :to Accounting and Auditing Corporate Governance Rights
Com- Pub- Under· Com- Pub- UMei- Com- Pub· Under· Com· Pub- Under· Com-- Pub- Under-f?Ie1ed bhed way pleled bhed way pleted lished way pleted Nshed way pleted lished way
_~.~.L.~.J .. ........ l ... - ..... -1-......... ". Joo-04 .J.~. ............ ~ l_~-~_ ----_-_-_ -_ ".,.. I., --__ +-Feb:OO··! ..... -:::1 ........... -= .. ~~=L!pr:.~. . ..... I-£~:.~j:··~· ·iky.o3" Mar'()2 ~J~.~ . Jl.i'()31 __ ::[ •••
··JUrj:06-t-~+--- J.n:od·"F~ --.- -·_--·t-- -........... __ .----l. ___ ~ _. • ~. _ _ • ~es ----.. -, ---t- ----- +-C~ r_--.. - ._--1--- --.. --... - ~~~l~ ...,. t ~2 i ' Nov.()7 -4 J-08 May.(jo( ! JI.n.04 _---..,
Nov'()7 i 0ec.()7! ___ ~ __
::;;;:,,;J:- : ::~~+" .. , -::;;.-------l:-·--:..-.~ .-.. ~~ ... - =~:~~:~=.,-~ -::: -:::.~~-::-_ -- ····~f~!- _ =r -.............. -,...~ ................. -..... . ....................•..... _ .. _._. .................. . ......... ······t······_···· .. ... ~.~Y.::02 ~ .. ~~? .... j~~?+.SeP:~..? .............•... _ ...... . .... -.-... +. . ... _._ ... 1"-._... . Y" J...-:oo . ..l-.......... -- .. - --- --. ·1 - --
_.--r I y .. -
:?~L4: :::""-'-::!~::~ ;;:1===-:-::------ ) f-"-'-. _j ..................... j.-_.. • .< , . --·=~~:r:~··· ............ ···§y--,,-.t=- Yes ·····J==:::L~l· ......... =::::~:~~: ... [.~~~:. . .. ~ -j -___ "_~~~
~:~:~~~T ~ ~-E~-':I: 00«»., ;::l-__ ~ }~ ~~!pr.~3 .......... :::::::::::r.::::-- ::::i!!~= ~:::.~~~t~ ~~::::~~::: ... =::::::~~:::t-.-.. -. ::·F~.~d:::~~:~·.-:-··
; ....... -----+.-; f
~~::~~~~·~~!JI~::~::~~··I?3~·::tr~· ~~ E;I~II:-j§fj l~~:.;'EI ~~:- -:--:..: ~:; ---- ,- I ; i [. ----, -,'-.... -- -... -_' .• _'"" ......• i ... "" ...... "'... l._ Feb.()3 ; Mar.()3 , Jun.()9 ; - 'i ... ,~_ .-_ ' .. -:-:-0;;- '1- . __ _ __ - -_ ',; - -~-_ . . ............... + --- -.----t-.-.-.-- ---....... j .... --, Yes ",vo-VV"~ -- .................. ~... .::.:.==j ..................... . =:F~i~l~iiii·L_ .. _~~ No:.€_~i~~· ~ -- t: -i J~.02 __ ::~~t~~ r--=~::::::~ ··.!·uMI6 __ i ........ --.- ...... -.... -
=±::::±= ---'--T'M --='--1-~ ...... rii· ...... ~~-
I'age 12 of 14
Economy
Data Disseminabon Com- Pub- Underpleted lished way
",
lOot 101 •
Fiscal Trans~rBn~ Com- ". Under-pleted lished w.y
'" " . ,
Rose Modules 1m (as of end-December, 2009)
Mooetary and FilCal PoJ k:~ T ransEarenc~ Banki~ Su~rviSion Insurance Su~rvis!on
Com- ". Under- Com- ". Under- Com- Pub- Under-pleted lished woy pleted lishad way' .,,' lished w,y pleted Nshed way'
" .. .
Page]) of14
E~y
Wesl Bank and Gaza ........ _-_ ........... .. W.slem .~~ Econ. ~ ~.':!Y. Union ,,-
Payment Systems
Com- Put>. Underpleted lished way
AMI.JCFT :II
Com- Pub· Under-eted lishad way
~~~-~':~Il~ - ---!-y~ ~ __ 57 .. 17 61 47
Accounting and Audillr.g
Corn.~ ..
.. .. _---
, ..
Pub- Underlished way
", --
.. "
Insolvency and Creditors Rights
Com- Pub- Under-pleted tished way teted joshed way
-:~ 1----- t-----·· ,....,;, '--""''' : ~ ' ...... !:ti= 1== ~~~ --- -j. ~1 t 57 l __ ~_I-a-,-
11 MlJi'tipie lines lor an economy Indio;ele II reassessment was cornpIa1ed for 0118 Of more $Iandards. 2J Dalll lor ROSes underway II preUmlnaty.
31loc1udes AMllCFT ROSeS by lIle Financial Action Task Force (FATF) and FATF_llyple regional bodies.
41 FSAP Suspended
Page 14 of 14