Guideline

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Recommendations on the Equivalence of Confidentiality Regimes (January 2017)

EBA opinion on confidentiality regime of certain non-EU supervisory authorities

European Banking Authority updated assessment of the equivalence of confidentiality regimes of several non-EU supervisory authorities in the context of third-country supervisory authority participation in EU supervisory colleges. Adds assessments of: Australian Prudential Regulation Authority, Reserve Bank of Australia, Hong Kong Monetary Authority, Bank of Japan, Japan Financial Services Agency, and Central Bank of the Republic of Kosovo.

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

Type: Guideline

Parent: Capital Requirements Directive - CRD IV

Peer: Recommendations on the Equivalence of Confidentiality Regimes (April 2015), Recommendations on the Equivalence of Confidentiality Regimes (September 2015)

Topics: Cross-border cooperation, Transparency and disclosure

Sectors: Banking

HKMA Supervisory Policy: Margin and Risk Mitigation: Standards for Non-Centrally Cleared OTC Derivatives

HKMA implementation of BCBS and IOSCO standards

Hong Kong Monetary Authority Supervisory Policy Module sets out minimum standards for margin and other risk mitigation techniques for non-centrally cleared over-the-counter (OTC) derivatives transactions. Module: i) covers margin standards; ii) covers risk mitigation standards; and iii) outlines HKMA's supervisory approach to margin and other risk mitigation standards for non-centrally cleared derivatives transactions and expectations regarding governance arrangements. Implements the margin requirements for non-centrally cleared derivatives issued by the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) in 2013 and the risk mitigation standards for non-centrally cleared OTC derivatives issues by IOSCO in 2015.

Publisher: National Regulators Release date: Dec 2016 Country: Hong Kong, China

Type: Guideline

Parent: Risk Mitigation Standards for Non-Centrally Cleared OTC Derivatives

Peer: Margin Requirements for Non-Centrally Cleared Derivatives

Topics: Derivatives, Risk management, Corporate governance

Sectors: Banking

Joint Guidelines on the Prudential Assessment of Acquisitions and Increases of Qualifying Holdings in the Financial Sector

EBA, EIOPA and ESMA joint guidelines on the assessment of qualifying holdings in financial institutions in the EU

European Banking Authority, European Insurance and Occupational Pensions Authority and European Securities and Markets Authority revised joint guidelines on the prudential assessment of acquisitions and increases by legal and natural persons in qualifying holdings in financial institutions: i) provide further clarity on key concepts, including indirect holdings, persons acting in concert and decision to acquire; ii) ensure a consistent interpretation of time limits by clarifying when supervisory authorities should provide an acknowledgement of receipt of notification regarding acquisitions of a qualifying holding in a financial institution and iii) clarify matters relevant to assessment of an acquisition, such as financial soundness of the proposed acquirer and suspicions of money laundering or terrorist financing.

Publisher: Regional Standard-Setting Bodies Release date: Dec 2016

Type: Guideline

Topics: Licensing, Money laundering and terrorist financing

Sectors: Banking, Insurance, Securities

Statement on Implementation of New Accounting Standards

IOSCO statement on new accounting standards applicable to securities issuers

International Organization of Securities Commissions statement regarding three new International Financial Reporting (IFRS) standards which are expected to significantly alter financial statements of many issuers globally. Highlights importance of implementation processes by issuers and their audit committees, and full, accurate and timely disclosures of possible impacts of adopting new standards. Also provides a series of matters for issuers, and well as their audit committees and auditors, to consider as issuers adopt the new standards and auditors perform related audit procedures.

Publisher: Global Standard-Setting Bodies Release date: Dec 2016

Type: Guideline

Topics: Accounting, actuarial and auditing , Transparency and disclosure

Sectors: Securities

Guidelines on Pillar 3 Disclosure Requirements

EBA guidelines to enable banks to comply with CRR provisions while implementing revised Basel Pillar 3 requirements

European Banking Authority final guidelines on regulatory disclosure requirements following update by the Basel Committee on Banking Supervision's Pillar III disclosure requirements. Guidelines enable institutions to comply with the EU Capital Requirements Regulation (CRR) provisions while implementing revised Basel Pillar 3 requirements. Applies to systemically important institutions.

Publisher: Regional Standard-Setting Bodies Release date: Dec 2016

Type: Guideline

Parent: Capital Requirements Regulation - CRR

Topics: Systemically important financial institutions (SIFIs), Transparency and disclosure

Sectors: Banking

Recommendations of the Task Force on Climate-Related Financial Disclosures

FSB recommendations for helping businesses disclose climate-related financial risks within the context of their existing disclosure requirements

Financial Stability Board's Task Force on Climate-Related Financial Disclosures recommendations for effective disclosure of climate-related financial risks. Includes supporting information on climate-related risks and opportunities, scenario analysis, and issues that the Task Force considered in developing its recommendations.

Publisher: Global Standard-Setting Bodies Release date: Dec 2016

Type: Guideline

Topics: Climate change , Risk management, Transparency and disclosure

Sectors: Banking, Insurance, Pensions, Securities

Enhanced Competency Framework on Anti-Money Laundering and Counter-Terrorist Financing

HKMA professional competency standards for practitioners in charge of banks' AML/CFT

Hong Kong Monetary Authority enhanced competency framework to establish set of common and transparent competency standards for raising and maintaining professional competence of relevant practitioners in charge of anti-money laundering and counter-terrorist financing compliance function (AML/CFT practitioners). Sets out qualifications, certification and continuing education requirements.

Publisher: National Regulators Release date: Dec 2016 Country: Hong Kong, China

Type: Guideline

Peer: De-risking and Financial Inclusion

Topics: Money laundering and terrorist financing, Corporate governance

Sectors: Banking

Guidelines for Effective Dialogue Between Supervisory Authorities and Auditors

EIOPA guidelines for interactions between supervisors and auditors of insurance firms

European Insurance and Occupational Pensions Authority guidelines set out supervisory approach toward regular dialogue between supervisors and auditors. Present relevant principles such as nature of information to be exchanged, frequency and timing as well as representatives involved in such dialogues between supervisors and auditors.

Publisher: Regional Standard-Setting Bodies Release date: Dec 2016

Type: Guideline

Topics: Accounting, actuarial and auditing , Supervisory framework

Sectors: Insurance

Fair Treatment of Long-Standing Customers in the Life Insurance Sector

FCA guidelines on treatment of "closed-book" customers

UK Financial Conduct Authority guidance sets out actions that life insurance firms should consider taking to treat their closed-book customers fairly. FCA expects: i) all customers to be kept informed about the products they are invested in; ii) firms to be proactive in identifying the drivers of overall product performance and ensure that customers are being treated fairly regarding investment performance, expense allocation and charges; and iii) customers should not face unreasonable barriers to exit or unfair charges if they stop paying premiums into the policy.

Publisher: National Regulators Release date: Dec 2016 Country: United Kingdom

Type: Guideline

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

Sectors: Insurance

Guidance to Supervisors on Setting Standards for Sales Incentives and Responsible Lending

FinCoNet guidance on the role incentives play in the sale of consumer credit products

International Financial Consumer Protection Organization guidance covers: i) appropriate oversight; ii) cross-selling; iii) consumer-focused culture; iv) general duties and specific responsibilities; v) oversight of different sales channel; vi) firms' product oversight and governance; vii) monitoring; viii) disclosure; and ix) promotional incentives to consumers. Also provides list of necessary pre-conditions of the overarching regulatory framework, if supervisory initiatives are to be effective in the field of sales incentives and responsible lending.

Publisher: Others Release date: Dec 2016

Type: Guideline

Peer: Impact of Sales Incentives on the Sale of Consumer Credit Products , Report on Responsible Lending

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

Sectors: Banking, Insurance, Pensions, Securities

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Resources

382 records

Recommendations on the Equivalence of Confidentiality Regimes (January 2017)

HKMA Supervisory Policy: Margin and Risk Mitigation: Standards for Non-Centrally Cleared OTC Derivatives

Joint Guidelines on the Prudential Assessment of Acquisitions and Increases of Qualifying Holdings in the Financial Sector

Statement on Implementation of New Accounting Standards

Guidelines on Pillar 3 Disclosure Requirements

Recommendations of the Task Force on Climate-Related Financial Disclosures

Enhanced Competency Framework on Anti-Money Laundering and Counter-Terrorist Financing

Guidelines for Effective Dialogue Between Supervisory Authorities and Auditors

Fair Treatment of Long-Standing Customers in the Life Insurance Sector

Guidance to Supervisors on Setting Standards for Sales Incentives and Responsible Lending

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