Guideline

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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

Derivatives Sound Practices for Private Pension Plans

OSFI guideline sets out its expectations of regulated private pension plans with respect to their derivative activities

Office of the Superintendent of Financial Institutions of Canada guideline sets out the factors that it expects administrators of federally regulated private pension plans to consider when developing policies and procedures for the sound risk management of derivative activities. Guideline reflects current practices with respect to the risk management of derivative activities, and covers both exchange traded and over-the-counter (OTC) derivatives. Sets out expectations for plan administrators who invest in derivatives indirectly through various types of funds, including pooled funds and hedge funds.

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

Type: Guideline

Topics: Risk management, Derivatives

Sectors: Pensions

Innovative Solutions by Financial Institutions in the Customer Due Diligence Process

EBA, EIOPA and ESMA opinion aims to develop common regulatory understanding of appropriate use of innovative solutions

European Banking Authority, the European Insurance and Occupational Pensions Authority, and the European Securities and Markets Authority opinion on use by banks and other financial institutions of new and innovative technologies when complying with customer due diligence (CDD) obligations. Highlights factors that supervisory authorities should consider when assessing the adequacy of firms' CDD measures where innovative solutions are used and assessing controls in place at firms that enable them to mitigate any risks associated with the use of new technologies.

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

Type: Guideline

Topics: Consumer education and protection, Money laundering and terrorist financing, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Guidelines on Insurance-Based Investment Products

EIOPA guidelines on the sale of insurance products that have investment exposures deemed non-complex and complex

European Insurance and Occupational Pensions Authority guidelines on the sale of insurance-based investment products (IBIPs), including those where associated risks are difficult for the customer to understand. Those with complex features require that insurers and insurance distributors undertake greater due diligence to ensure the product is suitable and appropriate for the client.

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

Type: Guideline

Parent: Insurance Distribution Directive

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

Sectors: Insurance

Liquidity Stress Testing by German Asset Managers

BaFin management summary of new guidelines for liquidity stress tests in the context of liquidity risk management

Federal Financial Supervisory Authority of Germany (BaFin) management summary provides overview of report that sets out current industry practice and idiosyncracies of the German asset management market. Report requires that design of liquidity stresses should account appropriately for the business model and size of the asset management company. Reporting and governance policies must be clear and consistent. Stress scenarios and the frequency of monitoring should be suitable to the nature of the individual fund.

Publisher: National Regulators Release date: Dec 2017 Country: Germany

Type: Guideline

Topics: Stress-testing, Liquidity risk and rules, Corporate governance, Transparency and disclosure

Sectors: Securities

HKMA Supervisory Policy on Competence and Ethical Behaviour

HKMA guideline on expected behaviour of bank staff

Hong Kong Monetary Authority guideline emphasizes the importance of the competence and ethical behaviour of staff at all levels within a bank's organizational structure and provides guidance on measures banks are expected to adopt in monitoring and maintaining the competence levels and ethical behaviour of their staff.

Publisher: National Regulators Release date: Dec 2017 Country: Hong Kong, China

Type: Guideline

Peer: Enhanced Competency Framework for Banking Practitioners

Topics: Conduct, Corporate governance

Sectors: Banking

Regulatory Capital and Internal Capital Targets

OSFI guideline sets out its expectations regarding capital and solvency assessment of insurers

Office of the Superintendent of Financial Institutions of Canada guideline sets out its expectations with regard to the capital and solvency assessment of insurers within the context of OSFI's Supervisory Framework.

Publisher: National Regulators Release date: Dec 2017 Country: Canada

Type: Guideline

Peer: Own Risk and Solvency Assessment , Life Insurance Capital Adequacy Test

Topics: Capital adequacy

Sectors: Insurance

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Resources

382 records

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

Derivatives Sound Practices for Private Pension Plans

Innovative Solutions by Financial Institutions in the Customer Due Diligence Process

Guidelines on Insurance-Based Investment Products

Liquidity Stress Testing by German Asset Managers

HKMA Supervisory Policy on Competence and Ethical Behaviour

Regulatory Capital and Internal Capital Targets

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