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Principles for Financial Market Infrastructures

24 international principles for the design and operation of financial market infrastructures including payment systems, CCPs, CSDs, SSSs, and trade repositories. Covers general organisation, credit and liquidity risk, settlement, default management, general business and operational risk, access, efficiency, and transparency. The foundational standard referenced by all national FMI regulators.

Clauses: 13
Avg Coverage: 73.7%
Publisher: CPMI-IOSCO (BIS / IOSCO) Version: 2012
CPMI-IOSCO PFMI → SP 800-53 SP 800-53 → CPMI-IOSCO PFMI Coverage Analysis
Clause Title SP 800-53 Controls
CG.DE Cyber Guidance — Detection
AU-02 AU-03 AU-04 AU-05 AU-06 AU-07 AU-09 AU-12 AU-13 AU-14 CA-07 IR-04 PM-14 PM-16 RA-05 RA-10 SC-05 SC-07 SC-26 SI-03 SI-04 SI-05 SI-07
CG.GOV Cyber Guidance — Governance
AT-01 AT-02 AT-03 AT-06 PL-01 PL-04 PL-09 PM-01 PM-02 PM-03 PM-13 PM-14 PM-29 PS-01 PS-02 PS-03 PS-06 PS-09
CG.ID Cyber Guidance — Identification
CM-08 CM-12 CM-13 PM-05 PM-11 RA-02 RA-03 RA-05 RA-06 RA-09 RA-10 SA-09 SA-15 SR-01 SR-02 SR-06
CG.LE Cyber Guidance — Learning and evolving
AT-02 AT-03 AT-06 CA-02 CA-05 CA-07 IR-04 IR-05 PM-04 PM-14 PM-31 RA-07 SI-02
CG.PR Cyber Guidance — Protection
AC-02 AC-03 AC-04 AC-05 AC-06 AC-07 AC-11 AC-17 AC-19 AC-20 CM-02 CM-03 CM-05 CM-06 CM-07 IA-02 IA-04 IA-05 IA-08 IA-12 MA-04 MP-02 MP-04 MP-06 PE-02 PE-03 PE-06 SC-02 SC-03 SC-04 SC-07 SC-08 SC-12 SC-13 SC-28 SC-39 SI-02 SI-03 SI-07 SI-16 SR-03 SR-05 SR-11
CG.RR Cyber Guidance — Response and recovery
CP-01 CP-02 CP-03 CP-04 CP-06 CP-07 CP-08 CP-09 CP-10 CP-12 CP-13 IR-01 IR-02 IR-03 IR-04 IR-05 IR-06 IR-07 IR-08 IR-09 PE-11 PE-17 PM-08 SC-24 SC-36
CG.SA Cyber Guidance — Situational awareness
AU-13 PM-12 PM-15 PM-16 RA-03 RA-05 RA-10 SI-05 SR-06 SR-08
CG.TE Cyber Guidance — Testing
CA-02 CA-04 CA-08 CP-04 IR-03 PM-14 PM-16 RA-05 RA-06 SA-11 SA-15 SC-26 SI-06
PFMI.P2 Principle 2 — Governance arrangements
AC-01 AT-01 CA-01 PL-01 PL-09 PM-01 PM-02 PM-03 PM-13 PM-14 PM-29 PS-01 RA-01 SA-01
PFMI.P3 Principle 3 — Framework for the comprehensive management of risks
CA-02 CA-05 CA-06 CA-07 PL-02 PL-09 PM-01 PM-04 PM-05 PM-08 PM-09 PM-28 RA-01 RA-02 RA-03 RA-07 RA-09 SA-08 SA-09
PFMI.P15 Principle 15 — General business risk
CP-02 PL-02 PM-01 PM-03 PM-09 PM-11 RA-03 SA-02
PFMI.P17 Principle 17 — Operational risk management
AC-01 AC-02 AC-03 AC-04 AC-06 AU-02 AU-03 AU-06 AU-12 CA-02 CA-07 CM-01 CM-02 CM-03 CM-06 CM-08 CP-01 CP-02 CP-03 CP-04 CP-06 CP-07 CP-08 CP-09 CP-10 IA-01 IA-02 IA-05 IR-01 IR-02 IR-03 IR-04 IR-05 IR-06 IR-08 MA-01 MA-02 MA-05 PE-01 PE-02 PE-09 PE-10 PE-11 PE-12 PE-13 PE-14 PE-17 PL-02 PM-08 PM-09 PM-11 RA-03 RA-05 SA-04 SA-05 SA-08 SA-09 SA-11 SC-05 SC-07 SC-08 SC-28 SI-02 SI-04 SI-07 SR-01 SR-03 SR-05
PFMI.P22 Principle 22 — Communication procedures and standards
AC-04 AC-17 CA-03 CM-06 IA-03 PL-08 SA-04 SA-09 SC-07 SC-08 SC-13 SC-16 SC-23