Guideline

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Guidelines on the Application of the Definition of Default

EBA guidelines specify application of definition of default across the European Union

European Banking Authority guidelines clarify aspects related to application of definition of default including the days past due criterion for identification, indications of unlikeliness to pay, conditions for return to non-defaulted status, treatment of definition of default in external data, application of default definition in a banking group and specific aspects related to retail exposures.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2016

Type: Guideline

Parent: Capital Requirements Regulation - CRR

Topics: Credit risk

Sectors: Banking

Guidelines on Remuneration Policies and Practices Related to the Sale and Provision of Retail Banking Products and Services

EBA guidelines to protect consumers and reduce conduct costs for financial institutions

European Banking Authority final guidelines on remuneration policies and practices related to provision and sale of retail banking products and services. Guidelines provide framework for implementation of remuneration policies and practices that will improve links between remuneration of sales staff and fair treatment of consumers, thus reducing the risk of mis-selling, and reduce the level of costs for firms arising from mis-selling settlements.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2016

Type: Guideline

Topics: Consumer education and protection, Transparency and disclosure, Compliance function

Sectors: Banking

Guidance on the Application of the Basel Core Principles for Institutions Relevant to Financial Inclusion

BCBS guideline for regulation and supervision of institutions relevant to financial inclusion

Basel Committee on Banking Supervision guideline builds on past work by the Committee to elaborate additional guidance in application of Committee's Core Principles for Effective Banking Supervision to regulation and supervision of financial institutions engaged in serving the financially unserved and underserved. Provides additional guidance on 19 of total 29 Core Principles with both Essential Criteria and Additional Criteria which have specific relevance to financial inclusion context.

Publisher: Global Standard-Setting Bodies Release date: Sep 2016

Type: Guideline

Parent: Core Principles for Effective Banking Supervision

Peer: Range of Practice in the Regulation and Supervision of Institutions Relevant to Financial Inclusion

Topics: Supervisory framework, Financial inclusion

Sectors: Banking

De-risking and Financial Inclusion

HKMA guideline for implementing risk-based AML/CFT controls

Hong Kong Monetary Authority guideline sets out expectation that banks adopt a risk-based approach (RBA) and refrain from adopting practices that would result in financial exclusion, particularly in respect of need for bona fide businesses to have access to basic banking services. Sets out guiding principles for an effective RBA in implementing anti-money laundering and counter-terrorist financing (AML/CFT) controls. Banks are expected to treat customers fairly in terms of transparency, reasonableness and efficiency.

Publisher: National Regulators Release date: Sep 2016 Country: Hong Kong, China

Type: Guideline

Peer: Enhanced Competency Framework on Anti-Money Laundering and Counter-Terrorist Financing

Topics: Money laundering and terrorist financing, Consumer education and protection, Financial inclusion, Transparency and disclosure

Sectors: Banking

Good Practices on Communication Tools and Channels for Communicating to Occupational Pension Scheme Members

EIOPA guidelines on communication tools and channels

European Insurance and Occupational Pensions Authority guidelines on communication tools and channels for communicating to occupational pension scheme members highlights the following areas: i) ways in which active and deferred members receive regular information about status of their individual pension entitlements; iii) whether there are any retirement planning tools made available to members; iv) how ad hoc information on charge directly affecting pension scheme members is being communicated; v) how to inform plan members about their options when they change jobs, including pension transfers; and vi) once retirement is drawing closer, whether, and how, plan members should be informed about available options.

Publisher: Regional Standard-Setting Bodies Release date: Aug 2016

Type: Guideline

Topics: Consumer education and protection, Pension and retirement plans, Transparency and disclosure

Sectors: Insurance, Pensions

Guiding Principles on the Temporary Funding Needed to Support the Orderly Resolution of a G-SIB

FSB principles on ensuring adequate liquidity funding in resolution

Financial Stability Board principles for temporary funding of global systemically important banks (G-SIBs) in resolution. Principles help to address risk of banks having insufficient liquidity to maintain critical operations during a resolution. Principles are intended to ensure effective resolution of G-SIBs without bail-out by the public sector and in a way that reduces moral hazard with a preference for private sector provision of liquidity. Relevant in context of domestic systemically important banks (D-SIBs) as well.

Publisher: Global Standard-Setting Bodies Release date: Aug 2016

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Principles for Cross-Border Effectiveness of Resolution Actions , Guidance on Cooperation and Information Sharing with Host Authorities Not Represented on CMGs, Guidance on Arrangements to Support Operational Continuity in Resolution, Funding Strategy Elements of an Implementable Resolution Plan

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs), Cross-border cooperation, Liquidity risk and rules

Sectors: Banking

Guidance on Arrangements to Support Operational Continuity in Resolution

FSB guidance to ensure continuity of critical shared services

Financial Stability Board guideline sets out arrangements to ensure continuity of critical shared services, such as IT infrastructure and software-related services, which are necessary to maintain the provision of, or facilitate orderly wind down of, an institution's critical functions in resolution. Addressing these issues will help to remove impediments to cross-border resolution of failing financial institutions.

Publisher: Global Standard-Setting Bodies Release date: Aug 2016

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Principles for Cross-Border Effectiveness of Resolution Actions , Guidance on Cooperation and Information Sharing with Host Authorities Not Represented on CMGs, Guiding Principles on the Temporary Funding Needed to Support the Orderly Resolution of a G-SIB, Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs), Cross-border cooperation, Operational risk

Sectors: Banking

Guidelines for Licensing of New Banks in the Private Sector

RBI guidelines for setting up new universal banks

Reserve Bank of India guidelines for setting up new universal banks in the private sector. Draft guidelines cover: i) eligible promoters; ii) fit and proper criteria; iii) corporate structure; iv) minimum capital requirement; v) regulatory requirement; vi) foreign shareholding in the bank; vii) corporate governance; viii) prudential norms; ix) exposure norms; x) business plan for the bank; xi) other conditions; and xii) additional conditions.

Publisher: National Regulators Release date: Aug 2016 Country: India

Type: Guideline

Topics: Licensing

Sectors: Banking

Guidelines on Outsourcing

Expanded guidelines on MAS expectations on outsourcing arrangements

Monetary Authority of Singapore guidelines provide expanded guidance on prudent risk management practices for outsourcing, including cloud-based services.

Publisher: National Regulators Release date: Jul 2016 Country: Singapore

Type: Guideline

Topics: Operational risk, Corporate governance

Sectors: Banking, Insurance, Securities

Communications between Supervisory Authorities and Statutory Auditors

EBA guidelines on communication between bank supervisors and statutory auditors

European Banking Authority guidelines on communication between supervisory authorities and statutory auditors and audit firms. Includes seven principles and detailed guidance relating to the main elements to effective communication, such as scope of information shared, form of communication, participants in information exchange and frequency and timing of communication. Includes more specific guidance for systemically important institutions and institutions where greater supervisory effort is required.

Publisher: Regional Standard-Setting Bodies Release date: Jul 2016

Type: Guideline

Topics: Supervisory framework, Accounting, actuarial and auditing , Systemically important financial institutions (SIFIs)

Sectors: Banking

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Resources

382 records

Guidelines on the Application of the Definition of Default

Guidelines on Remuneration Policies and Practices Related to the Sale and Provision of Retail Banking Products and Services

Guidance on the Application of the Basel Core Principles for Institutions Relevant to Financial Inclusion

De-risking and Financial Inclusion

Good Practices on Communication Tools and Channels for Communicating to Occupational Pension Scheme Members

Guiding Principles on the Temporary Funding Needed to Support the Orderly Resolution of a G-SIB

Guidance on Arrangements to Support Operational Continuity in Resolution

Guidelines for Licensing of New Banks in the Private Sector

Guidelines on Outsourcing

Communications between Supervisory Authorities and Statutory Auditors

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