Consultative, discussion and issues paper

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Toward a Framework for Safeguarding Financial Stability

IMF framework that comprises an analysis and assessment of financial stability, and maps out broad policy implications

Examines the emergence of financial stability as a key policy objective. Discusses the underlying trends in the financial system as well as the role of finance in relation to money, the real economy, and public policy. Financial stability is defined in terms of its ability to help the economic system allocate resources, manage risks, and absorb shocks. Financial stability is considered a continuum, changeable over time and consistent with multiple combinations of its constituent elements. On the basis of these concepts, a framework is presented that comprises an encompassing analysis and assessment of financial stability, and maps out broad policy implications.

Publisher: International Organizations Release date: May 2004

Type: Consultative, discussion and issues paper

Topics: Risk management, Macroprudential

Sectors: Banking

Insurance and Issues in Financial Soundness

IMF discussion paper explores insurance as a source of financial system vulnerability

International Monetary Fund paper reviews risks faced by insurance industry and several past insurance company failures that had systemic implications. Assimilation of banking-type activities by life insurers appears to be the key systemic vulnerability. Proposes key indicators that should be compiled and used for surveillance of financial soundness of insurance companies and insurance sector.

Publisher: International Organizations Release date: Jul 2003

Type: Consultative, discussion and issues paper

Topics: Systemic risk, Systemically important financial institutions (SIFIs)

Sectors: Insurance

Rating Credit Risk

OCC handbook sets out elements of effective internal processes for rating credit risk

US Office of the Comptroller of the Currency handbook on supervisory expectation for effective credit risk rating systems.

Publisher: National Regulators Release date: Apr 2001 Country: United States

Type: Consultative, discussion and issues paper

Topics: Credit risk

Sectors: Banking

Enhancing Bank Transparency: Public Disclosure and Supervisory Information that Promote Safety and Soundness in Banking Systems

BCBS report discussing the role of information in effective market discipline and effective banking supervision

Basel Committee on Banking Supervision report discussing the role of transparency and disclosure of information in effective market discipline and effective banking supervision. Identifies six broad categories of information elements that are needed to provide a basic understanding of a bank’s activities and the risks faced. Recommends that banks publicly disclose such information to foster market discipline and strengthen financial stability by promoting transparency of banks’ activities and risk exposures. Encourages supervisors to have access to this and other information of supervisory interest.

Publisher: Global Standard-Setting Bodies Release date: Aug 1998

Type: Consultative, discussion and issues paper

Topics: Risk management, Supervisory framework, Transparency and disclosure

Sectors: Banking

Sampling Methodologies

OCC handbook provides guidance on which sampling methods are best for specific areas of examination interest

US Office of the Comptroller of the Currency handbook discusses statistical sampling and specific methods of designing, selecting, and evaluating statistically valid samples. Focuses on numerical sampling and proportional sampling.

Publisher: National Regulators Release date: Aug 1998 Country: United States

Type: Consultative, discussion and issues paper

Peer: Allowance for Loan and Lease Losses, Bank Failure, Commercial Loan Examination Procedures , Commercial Real Estate Lending Examinations , Loan Portfolio Management

Topics: Supervisory framework

Sectors: Banking

Bank Failure

OCC evaluation of the factors contributing to bank failures

US Office of the Comptroller of the Currency paper identifies specific internal weaknesses that most influence a bank's failure. Also assesses primary factors that distinguish banks that fail from those that do not. Demonstrates that management and board of directors are ultimately responsible for success or failure of a bank. Highlights need for a bank to establish strong policies, controls and systems when economic conditions are good, thereby greatly increasing chances of remaining profitable when economic conditions are bad.

Publisher: National Regulators Release date: Jun 1998

Type: Consultative, discussion and issues paper

Peer: Allowance for Loan and Lease Losses, Commercial Loan Examination Procedures , Commercial Real Estate Lending Examinations , Loan Portfolio Management , Sampling Methodologies

Topics: Recovery and resolution, Corporate governance

Sectors: Banking

Commercial Loan Examination Procedures

OCC handbook for examiners on evaluating all types of commercial loans

Office of the Comptroller of the Currency Comptroller's Handbook sets out procedures for loan portfolio examinations.

Publisher: National Regulators Release date: Mar 1998 Country: United States

Type: Consultative, discussion and issues paper

Peer: Allowance for Loan and Lease Losses, Bank Failure, Commercial Real Estate Lending Examinations , Loan Portfolio Management , Sampling Methodologies

Topics: Credit risk, Asset classification and provisioning

Sectors: Banking

Women in Fund Management

Study advocating bringing more women into key managerial positions in financial services

National Council for Research on Women study advocates gender diversity in financial services decision-making to achieve better overall performance. Research indicates that women bring unique qualities and capacities to investment and professional money management. Provides specific actions that managers, companies and the financial services industry can take to bring change to financial sector and balance gender equation.

Publisher: Others Country: United States

Type: Consultative, discussion and issues paper

Topics: Gender equality

Sectors: Securities

Regulatory Framework

Guide for businesses and individuals licensed or registered with FSCO

Financial Services Commission of Ontario (FSCO) regulatory framework summarizes its expectations from businesses and individuals that are licensed or registered with FSCO, stakeholders, consumers, or pension plan members; and what can be expected from FSCO in the regulatory process. Describes: i) FSCO's legislative mandate; ii) how FSCO fulfills its mandate by achieving regulatory outcomes; iii) FSCO's core regulatory activities; and iv) principles that FSCO follows when conducting regulatory activities.

Publisher: Subnational Regulators Country: Canada

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Supervisory framework

Sectors: Insurance, Pensions

Australian Restricted Bank License Framework

APRA information paper describes its Restricted Bank License framework allowing eligible new entrants two years to meet the full prudential regime

Australian Prudential Regulation Authority information paper sets out APRA's Restricted Bank License framework, including: i) guidelines for eligibility; ii) minimum and ongoing requirements for Restricted ADIs; iii) application of the prudential framework; and iv) allowable business during the restricted phase. Provides an explanation of what applicants can expect when entering into and progressing through the licensing process and APRA's expectations at each stage.

Publisher: National Regulators Country: Australia

Type: Consultative, discussion and issues paper

Topics: Licensing

Sectors: Banking

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Resources

382 records

Toward a Framework for Safeguarding Financial Stability

Insurance and Issues in Financial Soundness

Rating Credit Risk

Enhancing Bank Transparency: Public Disclosure and Supervisory Information that Promote Safety and Soundness in Banking Systems

Sampling Methodologies

Bank Failure

Commercial Loan Examination Procedures

Women in Fund Management

Regulatory Framework

Australian Restricted Bank License Framework

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