Guideline

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Responsible Digital Payments Guidelines

BTCA guidelines on common types of digital payments services provided to the financially underserved

Better Than Cash Alliance guidelines set out good practices for engaging with clients who are sending or receiving digital payments and who were previously excluded or underserved. Guidelines are primarily oriented toward financial services providers in designing and delivering their payments services.

Publisher: Others Release date: Jul 2016

Type: Guideline

Topics: Financial inclusion, Gender equality, Transparency and disclosure, Consumer education and protection, Financial market infrastructure

Sectors: Banking, Microfinance

Implementation of IFRS 9 in Canada

OSFI final guideline on new international standards to improve the accounting for financial instruments

Office of the Superintendent of Financial Institutions of Canada guideline strengthens previous standards on accounting for financial instruments and related disclosures in light of new International Accounting Standards Board (IASB) standards and regulatory guidance by Basel Committee on Banking Supervision (BCBS).

Publisher: National Regulators Release date: Jun 2016 Country: Canada

Type: Guideline

Parent: Guidance on Credit Risk and Accounting for Expected Credit Losses

Topics: Accounting, actuarial and auditing , Transparency and disclosure

Sectors: Banking, Insurance

Developing Effective Resolution Strategies and Plans for Systemically Important Insurers

FSB guidance on applying the Key Attributes to insurers

Financial Stability Board guidance to assist resolution authorities in developing effective resolution strategies and plans for systemic insurers in accordance with the Key Attributes of Effective Resolution Regimes for Financial Institutions. Of relevance to global and domestic systemically important insurers. Developed in consultation with the International Association of Insurance Supervisors (IAIS). Builds on the guidance published in October 2014 on how provisions of the Key Attributes, including resolution powers and the details of recovery and resolution planning, should be interpreted for insurers.

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

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

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

Sectors: Insurance

Operational Risk Management

OSFI final guideline sets out expectations for operational risk management by banks and insurers

Office of the Superintendent of Financial Institutions of Canada guideline contains four key principles for effective operational risk management: i) fully integrate operational risk management within the overall risk management program; ii) use operational risk management to support the overall corporate governance structure, including developing an operational risk appetite statement; iii) ensure effective accountability for operational risk management; and iv) ensure comprehensive identification and assessment of operational risk through use of appropriate management tools that among other things provides a mechanism for collecting and communicating relevant operational risk information within the firm and to supervisory authorities.

Publisher: National Regulators Release date: Jun 2016 Country: Canada

Type: Guideline

Topics: Operational risk, Risk management, Corporate governance

Sectors: Banking, Insurance, Pensions

Guidelines on Stress Tests of Deposit Guarantee Schemes

EBA final guidelines to assess funding capabilities of DGSs

European Banking Authority final guidelines on stress tests of deposit guarantee schemes (DGSs). Provides methodological principles to assess whether operational and funding capabilities of DGSs are sufficient to ensure deposit protection in event of a bank failure.

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

Type: Guideline

Peer: EU Deposit Guarantee Scheme Directive

Topics: Deposit insurance, Stress-testing

Sectors: Banking

International Cybersecurity, Data and Technology Principles

ISDA, EBF and GFMA principles encourage effective global policy measures on cybersecurity, data and technology

International Swaps and Derivatives Association, European Banking Federation and the Global Financial Markets Association principles set out considerations to be taken into account when a jurisdiction or standard-setting body creates laws, regulations or standards that affect technology infrastructure of financial services firms operating globally.

Publisher: International Organizations Release date: May 2016

Type: Guideline

Topics: Operational risk, Cyber risk

Sectors: Banking, Insurance, Securities

Guidelines on Product Oversight and Governance Arrangements by Insurers and Insurance Distributors

EIOPA guideline on product oversight and guidance under the EU's Insurance Distribution Directive

European Insurance and Occupational Pensions Authority report in support of implementation of the EU's Insurance Distribution Directive (IDD). Seeks to promote cross-sectoral consistency with similar provisions on product oversight and governance in banking and securities sectors. The guidelines beginning on page 19 of the document specify procedures for designing insurance products, strengthening controls before launch of products and monitoring performance. Provides guidance on product distribution arrangements and preparatory steps before products are distributed.

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

Type: Guideline

Parent: Insurance Distribution Directive

Peer: Consumer Protection Under the EU Insurance Distribution Directive , Guidelines on Insurance-Based Investment Products

Topics: Corporate governance, Conduct, Transparency and disclosure, Consumer education and protection

Sectors: Insurance

Prudential Treatment of Problem Assets

BCBS guideline on definitions of non-performing exposures and forbearance

Basel Committee on Banking Supervision guideline in light of fact that there are no consistent international standards for categorizing problem loans. Introduces definitions for "non-performing exposures" and "forbearance" to promote harmonization in measures of asset quality and consistency in supervisory reporting and bank disclosures. Definitions are intended to be used in supervisory monitoring of bank asset quality as well as by banks in credit risk management and internal credit categorization systems.

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

Type: Guideline

Peer: Guidelines on Prudential Treatment of Problem Assets - Definitions of Non-Performing Exposures and Forbearance

Topics: Credit risk, Accounting, actuarial and auditing , Transparency and disclosure

Sectors: Banking

Guidelines on the Supervision of Branches of Third-Country Insurance Undertakings

EIOPA guidelines under Solvency II

European Insurance and Occupational Pensions Authority guidelines address authorization and supervision of branches of insurance companies based in countries outside the European Union (EU). Aims to ensure that policyholders dealing with such branches enjoy same level of protection that they would had they been dealing with an insurance undertaking situated in the EU, where financial soundness, risk management and governance arrangements of branch would be subject to the standards of the Solvency II Directive.

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

Type: Guideline

Topics: Supervisory framework, Licensing, Cross-border cooperation, Capital adequacy, Corporate governance, Transparency and disclosure

Sectors: Insurance

Guidelines on Product Oversight and Governance Arrangements for Retail Banking Products

EBA guidelines for manufacturers and distributors to promote protection of consumer interests and maintain market confidence

European Banking Authority final guidelines on product oversight and governance arrangements for retail banking products. Sets out requirements for designing and bringing to market mortgages, personal loans, deposits, payment accounts, payment services and electronic money. Requirements for manufacturers cover the internal control functions, identification of target market, product testing, disclosure, product monitoring, remedial actions and distribution channels. Requirements for distributors cover internal arrangements, identification and knowledge of target market, and information requirements.

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

Type: Guideline

Peer: Guidelines on Product Oversight and Governance Arrangements by Insurers and Insurance Distributors

Topics: Consumer education and protection, Transparency and disclosure, Conduct

Sectors: Banking

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Resources

382 records

Responsible Digital Payments Guidelines

Implementation of IFRS 9 in Canada

Developing Effective Resolution Strategies and Plans for Systemically Important Insurers

Operational Risk Management

Guidelines on Stress Tests of Deposit Guarantee Schemes

International Cybersecurity, Data and Technology Principles

Guidelines on Product Oversight and Governance Arrangements by Insurers and Insurance Distributors

Prudential Treatment of Problem Assets

Guidelines on the Supervision of Branches of Third-Country Insurance Undertakings

Guidelines on Product Oversight and Governance Arrangements for Retail Banking Products

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