Guideline

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Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

FSB guidance addresses risk of a bank in resolution being unable to maintain access to clearing, payment, settlement and custody services

Financial Stability Board guidance to support continued access to financial market infrastructures (FMIs) by a firm in resolution. Arrangements apply at the level of providers of critical FMI services, at level of FMI participants and at level of relevant resolution and FMI authorities.

Publisher: Global Standard-Setting Bodies Release date: Jul 2017

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Guidance on Arrangements to Support Operational Continuity in Resolution, Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs), Financial market infrastructure

Sectors: Banking

Liability of Customers in Unauthorised Electronic Banking Transactions

RBI guidelines for determining customer liability for unauthorized electronic banking transactions

Reserve Bank of India guideline for determining liability of customers for unauthorized electronic banking transactions. Sets out systems and procedures banks must have in place, requires banks to ask customers to mandatorily register for SMS alerts and, wherever available, for e-mail alerts for electronic banking transactions, and sets out criteria for determining customer liability.

Publisher: National Regulators Release date: Jul 2017 Country: India

Type: Guideline

Topics: Consumer education and protection, Financial inclusion

Sectors: Banking

Recommendations of the Task Force on Climate-Related Financial Disclosures

FSB report on recommendations for helping businesses disclose climate-related financial information

Financial Stability Board Task Force on Climate-Related Financial Disclosures final report establishes recommendations for disclosing clear, comparable and consistent information about the risks and opportunities presented by climate change.

Publisher: Global Standard-Setting Bodies Release date: Jun 2017

Type: Guideline

Peer: Recommendations of the Task Force on Climate-Related Financial Disclosures , Phase 1 Report & Public Consultation of the Task Force on Climate-Related Financial Disclosures, Implementing the Recommendations of the Task Force on Climate-Related Financial Disclosures

Topics: Climate change , Risk management, Transparency and disclosure

Sectors: Banking, Insurance, Pensions, Securities

Guidelines on the Money Laundering and Terrorist Financing Risk

EBA, EIOPA and ESMA joint guidelines for financial institutions and AML/CFT supervisors

European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority joint guidelines on anti-money laundering and countering the financing of terrorism (AML/CFT). Provide guidance on the factors financial institutions should consider when assessing the ML/TF risk associated with a business relationship or occasional transaction, and set out how financial institutions can adjust the extent of their customer due diligence measures to mitigate identified ML/TF risks.

Publisher: Regional Standard-Setting Bodies Release date: Jun 2017

Type: Guideline

Topics: Money laundering and terrorist financing

Sectors: Banking, Insurance, Pensions, Securities

Guidelines on MiFID II Product Governance Requirements

ESMA guidelines on target market assessment by manufacturers and distributors of financial products

European Securities and Markets Authority product governance guidelines under the Markets in Financial Instruments Directive II (MiFID II) regarding target market assessment by manufacturers and distributors of financial products. Based on its consultation with stakeholders, ESMA modified guidelines in areas such as portfolio diversification and provided further practical examples in the annex to help with application of the guidelines.

Publisher: Regional Standard-Setting Bodies Release date: Jun 2017

Type: Guideline

Parent: Markets in Financial Instruments Directive - MiFID II

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

Sectors: Securities

Implementing the Recommendations of the Task Force on Climate-Related Financial Disclosures

FSB guidance on how to implement the TCFD recommendations

Financial Stability Board guidance contains: i) directions on the application of the recommendations; ii) recommendations and supporting recommended disclosures that describe information that investors, lenders, and insurance underwriters need to make economic decisions; iii) guidance to assist preparers by providing context and suggestions for implementing recommended disclosures; and iv) supplemental guidance that highlights important sector-specific considerations for the financial and non-financial sectors potentially most affected by climate change.

Publisher: Global Standard-Setting Bodies Release date: Jun 2017

Type: Guideline

Peer: Recommendations of the Task Force on Climate-Related Financial Disclosures

Topics: Climate change , Risk management, Transparency and disclosure

Sectors: Banking, Insurance, Pensions, Securities

Guidance on Leveraged Transactions

ECB guide on supervisory expectations regarding leveraged finance transactions

European Central Bank guideline defines the types of transactions and exposure that are to be considered as a leveraged transaction subject to the guide, and sets out supervisory expectations for sound origination and risk management practices. Addresses syndication and secondary market activities.

Publisher: Regional Standard-Setting Bodies Release date: May 2017

Type: Guideline

Topics: Credit risk, Corporate governance

Sectors: Banking

Credit Risk Management Practices and Accounting for Expected Credit Losses

EBA guidelines on sound credit risk management practices

European Banking Authority guidelines address the transition from International Accounting Standard 39 (Financial Instruments: Recognition and Measurement) to International Financial Reporting Standard 9 (Financial Instruments). IFRS 9 will replace IAS 39 for accounting periods beginning in January 2018 and requires the measurement of impairment loss allowances to be based on an expected credit loss ('ECL') accounting model rather than on an incurred loss accounting model. Builds on Basel Committee on Banking Supervision's guidance on credit risk and accounting for expected credit losses.

Publisher: Regional Standard-Setting Bodies Release date: May 2017

Type: Guideline

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

Topics: Credit risk, Accounting, actuarial and auditing , Transparency and disclosure, Corporate governance, Capital adequacy

Sectors: Banking

Guidelines on ICT Risk Assessment Under SREP

EBA guideline on common means to assess Information and Communication Technology risk

European Banking Authority guideline sets out the requirements supervisors should apply in their assessment of ICT when: i) focusing on the general provisions and application of scoring as part of the SREP assessment of risks to capital; ii) assessing institutions' governance and strategy on ICT; and iii) assessing institutions' ICT risk exposures and controls.

Publisher: Regional Standard-Setting Bodies Release date: May 2017

Type: Guideline

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

Peer: Guidelines on Assessment of ICAAP and ILAAP under SREP, Revised Procedures and Methodologies for the Supervisory Review and Evaluation Process and Supervisory Stress Testing

Topics: Risk management, Operational risk, Corporate governance, Capital adequacy

Sectors: Banking

Guide to Fit and Proper Assessments

ECB guide on its policies and practices for "fit and proper" assessments

European Central Bank guide sets out its policies, practices and processes when assessing suitability of members of management bodies and key function holders of banks. Harmonizes the application of assessment criteria applicable to fit and proper assessments.

Publisher: Regional Standard-Setting Bodies Release date: May 2017

Type: Guideline

Topics: Corporate governance, Licensing

Sectors: Banking

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Resources

382 records

Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

Liability of Customers in Unauthorised Electronic Banking Transactions

Guidelines on the Money Laundering and Terrorist Financing Risk

Guidelines on MiFID II Product Governance Requirements

Implementing the Recommendations of the Task Force on Climate-Related Financial Disclosures

Guidance on Leveraged Transactions

Credit Risk Management Practices and Accounting for Expected Credit Losses

Guidelines on ICT Risk Assessment Under SREP

Guide to Fit and Proper Assessments

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