Guideline

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Guide to On-Site Inspections and Internal Model Investigations

Guide sets out how ECB conducts inspections

European Central Bank guide describes the inspection process, from the decision to launch the inspection to the follow-up stage and sets out best practices to foster cooperation between entities being inspected and inspection teams.

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

Type: Guideline

Topics: Supervisory framework

Sectors: Banking

Corporate Governance Guideline

OSFI revised guidelines set out expectations for boards of directors of federally regulated financial institutions

Office of the Superintendent of Financial Institutions of Canada revised Corporate Governance Guidelines. Address role of the Board of Directors and its Audit Committee, and risk governance. Revised guidelines provide boards with greater discretion on how they meet the guidelines' principles, taking into account the institution's size, nature of operations and risk profile and make a clearer delineation between board and senior management responsibilities.

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

Type: Guideline

Topics: Corporate governance, Risk management

Sectors: Banking, Insurance

Guidelines on Liquidity Risk Management Practices for Fund Management Companies

MAS guidelines for fund management companies with respect to collective investment schemes

Monetary Authority of Singapore guidelines on liquidity risk management framework for fund management companies (FMCs) with respect to collective investment schemes (CIS). Provides guidance on sound practices in liquidity risk management of CIS to address the risks to investors from liquidity mismatches between the CIS' portfolio liquidity and redemption terms. Guidelines accord proportionality to FMCs in implementing the liquidity risk management practices in line with their roles in managing the CIS, the business models and fund structures that they employ.

Publisher: National Regulators Release date: Aug 2018 Country: Singapore

Type: Guideline

Topics: Liquidity risk and rules, Risk management, Corporate governance, Transparency and disclosure

Sectors: Securities

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

EBA update to its SREP guidelines

European Banking Authority update to its guidelines on common procedures and methodology for Supervisory Review and Evaluation Process (SREP), including by incorporating supervisory stress testing.

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

Type: Guideline

Parent: Guidelines on Common Procedures and Methodologies for the Supervisory Review and Evaluation Process (SREP)

Peer: Guidelines on ICT Risk Assessment Under SREP, Guidelines on Assessment of ICAAP and ILAAP under SREP, Guidelines on Institutions' Stress Testing

Topics: Stress-testing, Capital adequacy, Liquidity risk and rules, Corporate governance, Risk management

Sectors: Banking

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

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Resources

382 records

Guide to On-Site Inspections and Internal Model Investigations

Corporate Governance Guideline

Guidelines on Liquidity Risk Management Practices for Fund Management Companies

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

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

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