Consultative, discussion and issues paper

382 records

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Risk-Based Customer Due Diligence

CGAP technical note sets out regulatory approaches

Consultative Group to Assist the Poor technical note outlines the main risk-based approaches to customer due diligence, provides examples from regulatory systems across the globe, and weighs the pros and cons of each approach.

Publisher: International Organizations Release date: Oct 2019

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Banking, Insurance, Microfinance

The Suptech Generations

FSI paper analyzes Suptech initiatives in 39 financial authorities globally

Financial Stability Institute research paper analyzes SupTech initiatives in 39 financial authorities globally.

Publisher: International Organizations Release date: Oct 2019

Type: Consultative, discussion and issues paper

Topics: Cyber risk, FinTech, Operational risk, Financial inclusion

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

The Bank of England's Approach to Assessing Resolvability

New PRA Resolvability Assessment Framework is designed to make resolution more transparent, better understood and more successful

UK Prudential Regulation Authority Resolvability Assessment Framework has three main components: i) how the Bank of England will assess resolvability; ii) a new Resolution Assessment Part of the PRA Rulebook that requires major UK firms to perform an assessment of their preparations for resolution; and iii) the Bank's intention to make a public statement concerning the resolvability of each of the major UK firms.

Publisher: National Regulators Release date: Jul 2019 Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Recovery and resolution, Transparency and disclosure

Sectors: Banking

Counterparty Credit Risk

APRA standard requires banks to adopt risk management practices relating to counterparty credit risk

Australian Prudential Regulation Authority standard requires banks to: i) calculate counterparty credit risk exposure amounts according to a standardized approach for measuring such exposures or the adjusted current exposure method; ii) apply risk weights to counterparty credit risk exposure amounts for capital adequacy purposes; iii) where applicable, calculate and hold a credit valuation adjustment risk capital charge; iv) where applicable, calculate and hold a default fund capital charge for default fund contributions to a qualifying central counterparty; and v) adopt risk management practices for bilateral and centrally cleared counterparty credit risk exposures.

Publisher: National Regulators Release date: Jul 2019

Type: Consultative, discussion and issues paper

Peer: The Standardised Approach for Measuring Counterparty Credit Risk Exposures , Capital Requirements for Bank Exposures to Central Counterparties

Topics: Credit risk

Sectors: Banking

Resolution Assessment and Public Disclosure by Firms

PRA rules for large banks

UK Prudential Regulation Authority rules for large UK banks.

Publisher: National Regulators Release date: Jul 2019 Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

A G7 Partnership for Women's Digital Financial Inclusion in Africa

Gates Foundation/G7 report sets out efforts to expand digital financial inclusion to women in Africa

Gates Foundation and G7 report sets out essential efforts to expand digital financial inclusion to women in Africa. The report identifies three main categories: i) infrastructure; ii) regulation; and iii) planning. Five pillars to advancing women's digital financial inclusion are: i) build inclusive digital payment infrastructures; ii) expand digital ID systems to reach excluded women; iii) create enabling policy and regulatory environments to support innovation; iv) assess overall digital readiness to maximize social and economic returns; and v) evaluate how governments can best use payments and ID systems reforms to impact women's lives.

Publisher: Others Release date: Jul 2019

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Gender equality

Sectors: Microfinance

Macroeconomic and Financial Stability: Impacts of Climate Change

Banque de France and NGFS report sets out distinctive characteristics of climate change

Banque de France and Network for Greening the Financial System report discusses: i) macroeconomics and climate change; ii) financial stability and climate change; iii) options for central banks and supervisors; and iv) key findings.

Publisher: National Regulators Release date: Jul 2019

Type: Consultative, discussion and issues paper

Topics: Climate change

Sectors: Banking

Overview of Pillar 2 Supervisory Review Practices and Approaches

BCBS review describes key concepts of Pillar 2 and supervisory review practices in use across Basel Committee member jurisdictions

Basel Committee on Banking Supervision report covers key areas of Pillar 2 supervisory review process, including the risk assessment process, risk appetites, board and senior management roles and supervisory practices adopted to enhance transparency, and bank disclosure practices. The report also describes a number of selected Pillar 2 risks, including business risk and interest rate risk in the banking book. It presents a range of actions that are taken under Pillar 2.

Publisher: Global Standard-Setting Bodies Release date: Jun 2019

Type: Consultative, discussion and issues paper

Topics: Capital adequacy, Risk management, Corporate governance, Transparency and disclosure, Market risk, Securitization

Sectors: Banking

Sustainable Finance in Emerging Markets and the Role of Securities Regulators

IOSCO report sets out recommendations for emerging market member jurisdictions to consider when issuing regulations or guidance regarding sustainable financial instrument

International Organization of Securities Commissions report explores trends and challenges that influence the development of sustainable finance in emerging capital markets. It also provides an overview of the initiatives that regulators, stock exchanges, policy makers and other key stakeholders in emerging markets have undertaken in this area. The report identifies the prerequisites for creating an ecosystem that facilitates sustainable finance, such as an appropriate regulatory framework and fit-for-purpose market infrastructure, reporting and disclosure requirements, governance and investor protection guidelines and mechanisms to address needs and requirements of institutional investors.

Publisher: Global Standard-Setting Bodies Release date: Jun 2019

Type: Consultative, discussion and issues paper

Peer: Sustainable Finance and the Role of Securities Supervisors

Topics: Financial inclusion

Sectors: Securities

From Basel I to Basel III

IMF working paper discusses sequencing implementation in developing economies

International Monetary Fund working paper provides guidance on how non-Basel Committee member countries could incorporate banks' capital and liquidity standards into their framework.

Publisher: International Organizations Release date: Jun 2019

Type: Consultative, discussion and issues paper

Topics: Capital adequacy, Liquidity risk and rules, Supervisory framework

Sectors: Banking

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Resources

382 records

Risk-Based Customer Due Diligence

The Suptech Generations

The Bank of England's Approach to Assessing Resolvability

Counterparty Credit Risk

Resolution Assessment and Public Disclosure by Firms

A G7 Partnership for Women's Digital Financial Inclusion in Africa

Macroeconomic and Financial Stability: Impacts of Climate Change

Overview of Pillar 2 Supervisory Review Practices and Approaches

Sustainable Finance in Emerging Markets and the Role of Securities Regulators

From Basel I to Basel III

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