Guideline

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Guidelines on the Management of Interest Rate Risk Arising from Non-Trading Book Activities

EBA guidelines on management of interest rate risk in the banking book in order to implement new BCBS standards

European Banking Authority updated guidelines set out supervisory expectations regarding management of interest rate risk arising from non-trading banking book activities (IRRBB). Intended to implement Basel Committee on Banking Supervision (BCBS) standards. Guidelines are structured into six sections: i) definitions; ii) general provisions; iii) internal capital; iv) governance; v) measurement; and vi) supervisory outlier test.

Publisher: Regional Standard-Setting Bodies Release date: Jul 2018

Type: Guideline

Parent: Interest Rate Risk in the Banking Book

Topics: Interest rate risk, Capital adequacy, Transparency and disclosure, Corporate governance

Sectors: Banking

Guidelines on Institutions' Stress Testing

EBA guidelines for institutions when designing and conducting stress testing programs

European Banking Authority guidelines provides a description of types of stress test exercises and reverse stress testing processes for both regular stress testing and recovery planning purposes. Addresses other matters that can be relevant to stress testing programs, including conduct risks and litigation costs, foreign exchange lending risk, interaction between solvency stress tests and liquidity stress tests, business models and data aggregation.

Publisher: Regional Standard-Setting Bodies Release date: Jul 2018

Type: Guideline

Parent: Guidelines on Stress Testing

Peer: Revised Procedures and Methodologies for the Supervisory Review and Evaluation Process and Supervisory Stress Testing

Topics: Stress-testing, Recovery and resolution, Capital adequacy, Liquidity risk and rules

Sectors: Banking

Principles on Bail-in Execution

FSB guidance on operationalizing bail-in as a resolution tool

Financial Stability Board guidance to assist authorities as they develop bail-in resolution strategies and make resolution plans operational by defining principles to operationalize the use of bail-in as a resolution tool. Addresses actions and processes required to: i) identify the instruments and liabilities within the scope of bail-in; ii) conduct valuations to inform and support the application of bail-in; iii) develop a bail-in process that meets applicable securities laws and exchange requirements; iv) transfer governance and control rights to new owners and obtain the required regulatory approvals and authorizations; and v) communicate effectively at all stages of the bail-in transaction with affected parties and the market. While developed in the context of global systemically important banks (G-SIBs), principles are generally relevant to resolution of domestic systemically important banks (D-SIBs) as well.

Publisher: Global Standard-Setting Bodies Release date: Jun 2018

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

Topics: Recovery and resolution, Crisis management and contingency planning, Systemically important financial institutions (SIFIs)

Sectors: Banking

Funding Strategy Elements of an Implementable Resolution Plan

FSB guidance on plan for funding in resolution

Financial Stability Board consultation sets out key funding strategy elements to support the orderly resolution of global systemically important banks (G-SIBs). Covers: i) firm capabilities to support monitoring, reporting and estimating funding needs in resolution and to facilitate execution of the funding strategy; ii) development of a resolution funding plan by the authorities; iii) use of firm assets and private sources of funding; iv) access to temporary public sector backstop funding mechanisms and ordinary central bank facilities; and v) information sharing and coordination between authorities. Generally relevant to resolution of domestically systemically important banks as well.

Publisher: Global Standard-Setting Bodies Release date: Jun 2018

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions, Guiding Principles on the Temporary Funding Needed to Support the Orderly Resolution of a G-SIB

Topics: Recovery and resolution, Liquidity risk and rules, Systemically important financial institutions (SIFIs), Crisis management and contingency planning

Sectors: Banking

Guide to Assessments of Licence Applications

ECB guide on the process and requirements for assessing licence applications

European Central Bank guide applies to all licence applications to become a credit institution (bank) within the meaning of the Capital Requirements Regulation (CRR), including initial authorizations for new credit institutions, applications from FinTech companies, authorizations in the context of mergers or acquisitions, bridge bank applications and licence extensions. Promotes awareness and enhances the transparency of the assessment criteria and processes for the establishment of a credit institution within the Single Supervisory Mechanism.

Publisher: Regional Standard-Setting Bodies Release date: Mar 2018

Type: Guideline

Parent: Capital Requirements Regulation - CRR

Peer: Guide to Assessments of FinTech Credit Institution Licence Applications

Topics: Corporate governance, Recovery and resolution, Financial inclusion, Licensing, FinTech

Sectors: Banking

Guidance on FSB Principles and Standards on Sound Compensation Practices

FSB supplementary guidance to the 2009 Principles and Standards

Financial Stability Board consultation on supplementary guidance to provide firms and supervisors with a framework to consider how compensation practices and tools, such as in-year bonus adjustments, and malus or clawback arrangements, can be used to reduce misconduct risk and address misconduct incidents.

Publisher: Global Standard-Setting Bodies Release date: Mar 2018

Type: Guideline

Parent: FSB Principles for Sound Compensation Practices

Peer: FSB Principles for Sound Compensation Practices: Implementation Standards

Topics: Corporate governance

Sectors: Banking, Insurance, Securities

Life Insurance Capital Adequacy Test Public Disclosure Requirements

OSFI guideline sets out expectations regarding disclosures for life insurance companies and insurance holding companies

Office of the Superintendent of Financial Institutions of Canada guideline sets out its expectations for achieving transparent, high-quality disclosures that will enable users to better understand and compare a life insurer's business and risks. Guideline is composed of two sections: i) guiding principles; and ii) scope and implementation.

Publisher: National Regulators Release date: Mar 2018 Country: Canada

Type: Guideline

Topics: Capital adequacy, Transparency and disclosure

Sectors: Insurance

Guide to Assessments of FinTech Credit Institution Licence Applications

ECB guide for potential FinTech bank applicants

European Central Bank guideline enhances transparency for potential FinTech bank applicants and increases their understanding of the procedure and criteria applied by the ECB in its assessment of licence applications.

Publisher: Regional Standard-Setting Bodies Release date: Mar 2018

Type: Guideline

Peer: Guide to Assessments of Licence Applications

Topics: Financial inclusion, Financial market infrastructure, Corporate governance, Operational risk, Licensing, FinTech

Sectors: Banking

The ESRB Handbook on Operationalizing Macroprudential Policy in the Banking Sector

ESRB handbook for implementing EU macroprudential policy framework

European Systemic Risk Board handbook provides detailed advice on how to design and implement macroprudential policy for the banking sector. Handbook is structured in three sections: i) overall macroprudential policy framework and key findings; ii) key features and role of individual macroprudential instruments; and iii) cross-cutting issues.

Publisher: Regional Standard-Setting Bodies Release date: Feb 2018

Type: Guideline

Parent: Capital Requirements Directive - CRD IV, Capital Requirements Regulation - CRR

Peer: Flagship Report on Macro-prudential Policy in the Banking Sector

Topics: Macroprudential, Systemic risk

Sectors: Banking

Recommendations for Liquidity Risk Management for Collective Investment Schemes

IOSCO final guidelines to improve liquidity risk management of open-ended collective investment schemes

International Organization of Securities Commissions guidelines set out recommendations to ensure that liquidity is managed to safeguard and protect the interests of investors, including in stressed market conditions. Includes guidance to securities regulators to promote good liquidity management practices for open-ended collective investment schemes.

Publisher: Global Standard-Setting Bodies Release date: Feb 2018

Type: Guideline

Peer: Principles for the Valuation of Collective Investment Schemes

Topics: Liquidity risk and rules, Stress-testing, Consumer education and protection, Corporate governance

Sectors: Securities

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Resources

382 records

Guidelines on the Management of Interest Rate Risk Arising from Non-Trading Book Activities

Guidelines on Institutions' Stress Testing

Principles on Bail-in Execution

Funding Strategy Elements of an Implementable Resolution Plan

Guide to Assessments of Licence Applications

Guidance on FSB Principles and Standards on Sound Compensation Practices

Life Insurance Capital Adequacy Test Public Disclosure Requirements

Guide to Assessments of FinTech Credit Institution Licence Applications

The ESRB Handbook on Operationalizing Macroprudential Policy in the Banking Sector

Recommendations for Liquidity Risk Management for Collective Investment Schemes

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