Guideline

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Pension Plan Governance Guidelines & Self-Assessment Questionnaire

CAPSA voluntary guidelines for pension plan administrators

Canadian Association of Pension Supervisory Authorities guidelines and self-assessment questionnaire to assist pension plan administrators in fulfilling governance responsibilities by achieving and maintaining good governance practices. Pension plan administrators are expected to take measures to follow the guidelines. CAPSA subsequently released a Frequently Asked Questions companion document in June, 2005, to provide pension plan administrators with general guidance, additional clarification and examples related to the guideline and self-assessment questionnaire.

Publisher: Subnational Regulators Release date: Oct 2004

Type: Guideline

Topics: Corporate governance, Risk management, Transparency and disclosure, Compliance function

Sectors: Pensions

Stress Testing by Insurers

IAIS guidance paper on stress testing in context of capital adequacy and solvency regimes

International Association of Insurance Supervisors guidance paper discusses: i) role stress tests should play in an insurer's overall risk management framework, and how such tests assist the insurer to maintain sufficient capital adequacy and solvency; ii) role stress tests play in assisting supervisors to undertake their role in assessing risks faced by insurers; iii) how supervisors can use stress testing to assess prudential strength of individual insurers; iv) supervisory considerations, such as the corporate governance regime, that need to surround an insurer's stress testing environment; and v) various factors that need to be considered in designing and undertaking stress tests, including a discussion of possible modelling techniques that can be used.

Publisher: Global Standard-Setting Bodies Release date: Oct 2003

Type: Guideline

Topics: Stress-testing, Capital adequacy, Risk management, Corporate governance

Sectors: Insurance

HKMA Supervisory Policy - Outsourcing

HKMA guideline on its supervisory approach to outsourcing

Hong Kong Monetary Authority guideline for banks to follow when outsourcing services domestically or overseas. Addresses nine major concerns: i) accountability; ii) risk assessment; iii) ability of service providers; iv) outsourcing agreement; v) customer data confidentiality; vi) control over outsourced activities; vii) contingency planning; viii) access to outsourced data; and ix) additional concerns in relation to overseas outsourcing.

Publisher: National Regulators Release date: Dec 2001 Country: Hong Kong, China

Type: Guideline

Peer: HKMA Supervisory Policy - Risk-Based Supervisory Approach

Topics: Supervisory framework, Risk-based supervision

Sectors: Banking

HKMA Supervisory Policy - Risk-Based Supervisory Approach

HKMA guideline on its risk-based supervisory approach

Hong Kong Monetary Authority guideline on its risk-based approach to monitor and assess the safety and soundness of banks on a continuing basis. Consists of a structured methodology to establish a forward-looking view on banks' risk profile. Permits direct and specific focus on areas of greatest risk to an bank. Enables HKMA to be more proactive and better positioned to pre-empt any serious threat to the stability of the banking system from current or emerging risks.

Publisher: National Regulators Release date: Oct 2001 Country: Hong Kong, China

Type: Guideline

Peer: HKMA Supervisory Policy - Outsourcing

Topics: Supervisory framework, Risk management

Sectors: Banking

Guidance for Developing Effective Deposit Insurance Systems

Financial Stability Forum guidance that draws on the practical experience of its members and other countries and is designed to be adaptable to a broad range of country circumstances, settings and structures.

Financial Stability Forum guidance developed through a consultative process that involved over 100 countries. Draws heavily on the practical experience of members and other countries. Is designed to be adaptable to a broad range of country circumstances, settings and structures. Covers: the goals of deposit insurance (stability of financial systems, protection of less sophisticated depositors); the importance of broader financial safety nets; mandates, powers and organisation structure of deposit insurers; coverage and membership issues; reimbursement of depositors; and dealing with failed or failing banks.

Publisher: International Organizations Release date: Aug 2001

Type: Guideline

Topics: Deposit insurance, Recovery and resolution

Sectors: Banking

Large Exposure Limits: Guidance

OSFI guidance in application of Large Exposure Limits, Prudent Person Approach and other related guidelines and regulations

Office of the Superintendent of Financial Institutions of Canada guideline based on concerns that some regulated firms may not be applying a suitably comprehensive interpretation and assessment of common risk. Regulated firms are expected to conduct robust analyses of loan portfolio and other credit to determine impact on credit risk profile of changes in market conditions and their own business activities. Should include extensive stress testing and address such issues as liquidity risk and concentration by product, business sector, location/jurisdiction, risk rating and single/related counterparties.

Publisher: National Regulators Release date: Mar 2001 Country: Canada

Type: Guideline

Parent: Large Exposure Limits

Topics: Credit risk

Sectors: Banking

Principles for the Management of Credit Risk

BCBS guidelines on sound practices for managing credit risk

Basel Committee on Banking Supervision guideline addresses: i) establishing an appropriate credit risk environment; ii) operating under a sound credit granting process; iii) maintaining an appropriate credit administration, measurement and monitoring process; and iv) ensuring adequate controls over credit risk. Credit risk practices should also be applied in conjunction with sound practices related to the assessment of asset quality, the adequacy of provisions and reserves, and disclosure of credit risk.

Publisher: Global Standard-Setting Bodies Release date: Sep 2000

Type: Guideline

Peer: Sound Credit Risk Assessment and Valuation for Loans

Topics: Credit risk

Sectors: Banking

Framework for Internal Control Systems in Banking Organisations

BCBS guidance on effective supervision of internal control systems

Basel Committee on Banking Supervision guidance sets out essential elements of a sound internal control system. Outlines principles for use by supervisory authorities when evaluating banks' internal control systems.

Publisher: Global Standard-Setting Bodies Release date: Sep 1998

Type: Guideline

Topics: Corporate governance, Risk management

Sectors: Banking

Guidance on Information Sharing

IOSCO guidance on information sharing during periods of crisis

International Organization of Securities Commissions guidance to authorities on sharing information during periods of market and/or firm crisis by: i) identifying in advance types of core information which market authorities would need to be able to obtain and be prepared to share in order to assist in assessing and managing impact of market and/or firm crisis; ii) explaining relevancy of information; and iii) providing illustrations of types of questions which market authorities may use to request information from another authority. Identifies three generic types of market and/or firm events: i) Type I (firm financial crisis); ii) Type II (market-wide volatility); and iii) Type III (unusual price movements or market volatility in a particular security or derivative).

Publisher: Global Standard-Setting Bodies Release date: Oct 1997

Type: Guideline

Topics: Crisis management and contingency planning, Cross-border cooperation

Sectors: Securities

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Resources

382 records

Pension Plan Governance Guidelines & Self-Assessment Questionnaire

Stress Testing by Insurers

HKMA Supervisory Policy - Outsourcing

HKMA Supervisory Policy - Risk-Based Supervisory Approach

Guidance for Developing Effective Deposit Insurance Systems

Large Exposure Limits: Guidance

Principles for the Management of Credit Risk

Framework for Internal Control Systems in Banking Organisations

Guidance on Information Sharing

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