Guideline

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Joint EBA and ESMA Guidelines on the Assessment of the Suitability of Members of the Management Body and Key Function Holders

EBA and ESMA guidelines on notion of suitability

European Banking Authority and the European Securities and Markets Authority guidelines on suitability aim to remedy weaknesses that were identified during the financial crisis regarding the functioning of the management body and its members. The guidelines aim to further improve and harmonize the assessment of suitability within the EU financial sector, and to ensure sound governance arrangements in institutions.

Publisher: Regional Standard-Setting Bodies Release date: Jul 2021

Type: Guideline

Topics: Corporate governance

Sectors: Banking, Securities

Guidance for a Risk-Based Approach to Supervision

FATF guidance sets out risk-based approach to AML/CFT supervision

Financial Action Task Force non-binding guidance clarifies and explains how supervisors should apply a risk-based approach to their activities in line with FATF standards. The guidance identifies innovative practices that can help to improve the effectiveness of AML/CFT supervision and thus the overall AML/CFT system. It focuses on the general process by which a supervisor should allocate its resources and apply risk-appropriate tools to achieve effective AML/CFT supervision.

Publisher: Global Standard-Setting Bodies Release date: Mar 2021

Type: Guideline

Topics: Risk-based supervision, Money laundering and terrorist financing

Sectors: Banking, Insurance, Pensions, Securities

Compliance Risk Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles

FRB expectations regarding independent firm-wide compliance risk management and oversight in large complex firms

US Federal Reserve Board guidance on firm-wide compliance functions. Firm-wide compliance functions manage compliance risk within and across business lines, support units, legal entities and jurisdictions of operation. Considered of particular importance for areas such as anti-money laundering, privacy, affiliate transactions and conflicts of interest. Firm-wide compliance risk management should be based on a formalized compliance program that is documented in policies, procedures and compliance risk management standards. Sets out expectations for the independence of the corporate compliance function, for compliance monitoring and testing, and corporate governance arrangements.

Publisher: National Regulators Release date: Feb 2021 Country: United States

Type: Guideline

Parent: Compliance and the Compliance Function in Banks

Topics: Compliance function, Corporate governance, Systemically important financial institutions (SIFIs)

Sectors: Banking

Technology Risk Management Guidelines

MAS guidelines to promote sound practices and processes to keep pace with emerging technologies and shifts in the cyber threat landscape

Monetary Authority of Singapore revised guidelines focus on addressing technology and cyber risks in an environment of growing use by financial institutions (FIs) of cloud technologies, application programming interfaces, and rapid software development. The guidelines reinforce the importance of incorporating security controls as part of FI's technology development and delivery lifecycle, as well as in the deployment of emerging technologies.

Publisher: National Regulators Release date: Jan 2021

Type: Guideline

Topics: Risk management, Operational risk, Cyber risk, Consumer education and protection

Sectors: Banking, Insurance

UK Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)

PRA supervisory statement on its expectations for firms undertaking an ICAAP and factors it takes into consideration in its SREP

UK Prudential Regulatory Authority updated supervisory statement sets out expectations of firms in relation to: i) undertaking their ICAAP; ii) stress testing, scenario analysis and capital planning; and iii) reverse stress testing. Sets out the factors that the PRA takes into consideration to assess a firm’s ICAAP. Provides further detail in relation to high-level expectations outlined in PRA’s Approach to Banking Supervision.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Guideline

Parent: Capital Requirements Directive - CRD IV

Peer: The Prudential Regulation Authority's Approach to Banking Supervision

Topics: Capital adequacy, Stress-testing

Sectors: Banking, Securities

Task Force on Climate-related Financial Disclosures: 2020 Status Report

FSB 2020 status report

Financial Stability Board Task Force on Climate-related Financial Disclosures 2020 status report found that disclosure of climate-related financial information aligned with the TCFD recommendations has steadily increased since the recommendations were published in 2017. The largest increases relate to companies disclosing how they identify, assess, and manage climate-related risk.

Publisher: Global Standard-Setting Bodies Release date: Nov 2020

Type: Guideline

Topics: Climate change , Risk management, Transparency and disclosure

Sectors: Banking, Insurance, Pensions, Securities

Guide on Climate-related and Environmental Risks

ECB guide sets out how banks should prudently manage and disclose risks

European Central Bank guide outlines the ECB's understanding of the safe and prudent management of climate-related and environmental risks under the current prudential framework. It describes how the ECB expects institutions to consider climate-related and environmental risks - as drivers of existing categories of risk - when formulating and implementing their business strategy and governance and risk management frameworks. It explains how the ECB expects institutions to become more transparent by enhancing their climate-related and environmental disclosures.

Publisher: Regional Standard-Setting Bodies Release date: Nov 2020

Type: Guideline

Topics: Climate change

Sectors: Banking, Securities

Guidelines on Reporting and Disclosure of Exposures Subject to Measures Applied in Response to the COVID-19 Crisis

EBA guidelines on data gaps in supervisory reporting and disclosure associated with measures to deal with the pandemic

European Banking Authority guidelines on reporting and disclosure of exposures subject to measures applied in response to the COVID-19 crisis. They have been developed to address data gaps to ensure an appropriate understanding of institutions' risk profiles and the asset quality on their balance sheets both for supervisors and the wider public.

Publisher: Regional Standard-Setting Bodies Release date: Jul 2020

Type: Guideline

Topics: Crisis management and contingency planning, COVID-19

Sectors: Banking

Sound Management of Risks Related to Money Laundering and Financing of Terrorism

BCBS revised guidelines on combatting money laundering and terrorist financing in correspondent banking

Basel Committee on Banking Supervision amended guidelines on cooperation and information exchange among prudential and AML/CFT supervisors for banks.

Publisher: Global Standard-Setting Bodies Release date: Jul 2020

Type: Guideline

Peer: FSB Action Plan to Assess and Address the Decline in Correspondent Banking, Stocktake of Remittance Service Providers' Access to Banking Services

Topics: Money laundering and terrorist financing, Risk management, Financial inclusion

Sectors: Banking

Liquidity Principles

OSFI guideline on how it assesses effectiveness of bank liquidity risk management

Office of the Superintendent of Financial Institutions of Canada guideline setting out prudential considerations relating to liquidity risk management programs of regulated banks and holding companies. Provides framework within which OSFI assesses content and effectiveness of liquidity risk management and whether that risk management program yields adequate and appropriate forms of liquidity.

Publisher: National Regulators Release date: Dec 2019 Country: Canada

Type: Guideline

Topics: Liquidity risk and rules, Risk management

Sectors: Banking

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Resources

382 records

Joint EBA and ESMA Guidelines on the Assessment of the Suitability of Members of the Management Body and Key Function Holders

Guidance for a Risk-Based Approach to Supervision

Compliance Risk Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles

Technology Risk Management Guidelines

UK Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)

Task Force on Climate-related Financial Disclosures: 2020 Status Report

Guide on Climate-related and Environmental Risks

Guidelines on Reporting and Disclosure of Exposures Subject to Measures Applied in Response to the COVID-19 Crisis

Sound Management of Risks Related to Money Laundering and Financing of Terrorism

Liquidity Principles

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