Regulatory Information

S&P DJI is committed to continuous engagement and cooperation with our regulatory stakeholders. Our internal processes, policies and procedures are aligned with industry best practices as well as rules and regulations impacting our business.


IOSCO Principles for Financial Benchmarks

The IOSCO Principles for Financial Benchmarks articulate policy guidance and principles for benchmark-related activities.

Adherence Review

Reasonable assurance examination of S&P DJI’s adherence statement performed by an internationally recognized independent accounting and professional services firm.

Regulation

Information on regulations implemented by the EU and certain other jurisdictions with respect to the use of financial indices.

Benchmark Regulation - European Union

The EU Benchmark Regulation applies to the use of, provision of, and contribution to indices used as financial benchmarks in the EU. Learn more about the regulation as it relates to S&P DJI through the following resources.


To submit requests for indices to be considered for regulatory review, please email us. For access to all index Benchmark Statements, visit our Methodologies page.

ESMA’s Guidelines on ETFs and Other UCITs Issues

In August 2014 ESMA updated its guidelines on the requirements that index-tracking UCITS should meet. A summary of S&P DJI’s position in relation to the ESMA Guidelines is available here.