Guideline

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Rate of Conversion of Debt to Equity in Bail-in

EBA guidelines on conversion of debt to equity in application of bail-in to creditors under the BRRD

European Banking Authority guidelines on setting conversion rates of debt to equity in accordance with bail-in provisions of the EU Bank Recovery and Resolution Directive (BRRD). Addresses how creditors may be appropriately compensated by means of the conversion rate, and the relative conversion rates that might be appropriate to reflect the priority of senior liabilities under insolvency law.

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

Type: Guideline

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Standards on Valuations in Resolution , Guidelines on the Treatment of Shareholders in Bail-in

Topics: Recovery and resolution

Sectors: Banking, Securities

Guidelines on the Treatment of Shareholders in Bail-in

EBA guidelines on treatment of shareholders in bail-in

European Banking Authority guideline clarifies the circumstances under which it is appropriate to cancel, transfer, or severely dilute shares or other instruments of ownership. Where more than one choice (cancellation, dilution or transfer) is available, the choice should be guided by the need to meet the resolution objectives. National or EU company law may affect the appropriate choice, for example shares with special voting rights might be more appropriate to cancel than to transferor a transfer shares of a listed company would avoid an interruption of listing.

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

Type: Guideline

Parent: Bank Recovery and Resolution Directive (BRRD), Capital Requirements Regulation - CRR

Peer: Capital Requirements Directive - CRD IV, Guidelines on Conversion Rates in Bail-in

Topics: Recovery and resolution

Sectors: Banking

Consolidated and Enhanced Frameworks for Pillar 3 Disclosure Requirements

HKMA notice to banks to prepare for implementation of new Basel Committee standards on Pillar 3 disclosure requirements

Hong Kong Monetary Authority notice to banks to prepare for implementation of the Basel Committee's March 2017 framework for consolidated and enhanced Pillar 3 disclosures. HKMA will consult the industry later in 2017 on its proposed approach to enhancing the local disclosure regime to reflect the March 201 Basel Committee package.

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

Type: Guideline

Parent: Pillar 3 Disclosure Requirements - Consolidated and Enhanced Framework

Topics: Transparency and disclosure

Sectors: Banking

Guidelines on LCR Disclosure

EBA guidelines set out uniform tools for LCR related disclosures

European Banking Authority guidelines harmonize and specify qualitative and quantitative information that institutions are required to disclose on liquidity and the LCR. Guidelines include: i) harmonized table for disclosure of general information on liquidity risk management; and ii) templates and instructions for disclosure of information on LCR composition. Also specifies key figures and metrics in context of liquidity risk.

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

Type: Guideline

Parent: Capital Requirements Regulation - CRR

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

Sectors: Banking

Bank Culture Reform

HKMA guideline sets out three pillars to promote sound bank culture

Hong Kong Monetary Authority guidance for banks to develop and promote a sound corporate culture that supports prudent risk management and contributes toward incentivizing proper staff behaviour, leading to positive customer outcomes and high ethical standards.

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

Type: Guideline

Parent: HKMA Supervisory Policy - Recovery Planning, HKMA Supervisory Policy - Supervisory Review Process

Peer: HKMA Supervisory Policy - Recovery Planning for Foreign Branches

Topics: Corporate governance, Compliance function

Sectors: Banking

Guidance to Banks on Non-Performing Loans

ECB guideline on best practices for managing and reducing NPLs

European Central Bank guideline addresses main aspects regarding strategy, governance and operations, which are key to successfully resolving non-performing loans (NPLs). Recommends that banks put in place appropriate governance and operations structures to deliver effective NPL workouts. Provides short-term and long-term options on viable forbearance solutions with aim of returning exposure to a situation of sustainable repayment. Outlines policies, procedures and disclosures banks should adopt when valuing immovable property held as collateral for NPLs.

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

Type: Guideline

Peer: Addendum to the ECB Guidance to Banks on Nonperforming Loans

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

Sectors: Banking

Guide to Consumer Protection Risk Assessment

Guide sets out Central Bank of Ireland's approach to carrying out consumer protection risk assessments

Central Bank of Ireland guide sets out its approach to carrying out consumer protection risk assessments. Describes the bank's expectations of regulated financial services firms in implementing or enhancing their frameworks for managing risks to consumers.

Publisher: National Regulators Release date: Mar 2017 Country: Ireland

Type: Guideline

Topics: Consumer education and protection, Corporate governance, Conduct

Sectors: Banking

Selling Investment Products and Handling Client Securities

HKMA guidance on the application of its regulatory standards

Hong Kong Monetary Authority guidance clarifies how its regulatory standards apply to: i) pre-trade disclosure; ii) assessment of customer's concentration risk; iii) "portfolio-based" suitability assessment for private banking customers; iv) alternative investment products; v) supervision of transactions with mismatch(es) or exception(s); vi) staff training; and vii) regular review of controls in relation to handling of client securities.

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

Type: Guideline

Topics: Risk-based supervision, Consumer education and protection, Transparency and disclosure, Conduct

Sectors: Banking, Securities

Implementation of the Enforcement Review and the Green Report

FCA and PRA steps to upgrade their enforcement regime

UK Financial Conduct Authority and Prudential Regulation Authority explanation of changes they are making to their enforcement policies and processes. The changes were made in response to a Treasury report (Review of Enforcement Decision-Making at the Financial Services Regulators) and to the "Green Report", a report into the FSA's enforcement actions following the failure of HBOS.

Publisher: National Regulators Release date: Feb 2017 Country: United Kingdom

Type: Guideline

Topics: Early intervention and enforcement, Transparency and disclosure

Sectors: Banking, Insurance, Securities

Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities

FSB policy recommendations to address financial stability risks

Financial Stability Board policy recommendations to address structural vulnerabilities from asset management activities that could potentially present financial stability risk. Recommendations fall into four categories: i) liquidity mismatch between fund investment and redemption terms and conditions for fund units; ii) leverage within investment funds; iii) operational risks and challenges in transferring investment mandates in stressed conditions; and iv) securities lending activities of asset managers and funds.

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

Type: Guideline

Topics: Systemic risk, Shadow banking

Sectors: Banking, Securities

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Resources

382 records

Rate of Conversion of Debt to Equity in Bail-in

Guidelines on the Treatment of Shareholders in Bail-in

Consolidated and Enhanced Frameworks for Pillar 3 Disclosure Requirements

Guidelines on LCR Disclosure

Bank Culture Reform

Guidance to Banks on Non-Performing Loans

Guide to Consumer Protection Risk Assessment

Selling Investment Products and Handling Client Securities

Implementation of the Enforcement Review and the Green Report

Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities

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