Guideline

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Anti-Money Laundering and Countering the Financing of Terrorism Risk Factor Guidelines

EBA, EIOPA and ESMA guidelines on risk factors that firms should consider when implementing a risk-based approach to AML/CFT compliance

European Banking Authority, European Insurance and Occupational Pensions Authority and European Securities and Markets Authority guidelines on implementing a risk-based approach to adherence to the EU directive on the Financial Action Task Force (FATF) international standard. Provides guidance on risk factors firms should consider when assessing money laundering and terrorist financing risk associated with a business relationship or occasional transaction, and how firms can adjust the extent of their customer due diligence measures in a manner commensurate to money laundering and terrorist financing risks. Provides guidance to supervisory authorities in assessing the adequacy of firms’ application of simplified and enhanced customer due diligence measures.

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

Type: Guideline

Peer: Guidelines on the Money Laundering and Terrorist Financing Risk

Topics: Money laundering and terrorist financing

Sectors: Banking, Insurance, Pensions, Securities

FinTech Regulatory Sandbox Guidelines

MAS guideline sets out purpose of sandbox and guidance on application process

Monetary Authority of Singapore guideline to develop regulatory "sandbox" to enable financial institutions to experiment with fintech solutions in an environment where any failures would be contained. Guidelines set out ways by which MAS might provide regulatory support to firms to encourage fintech experimentations.

Publisher: Others Release date: Nov 2016 Country: Singapore

Type: Guideline

Topics: Financial inclusion, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Guidelines on Assessment of ICAAP and ILAAP under SREP

EBA guideline on common approach to internal capital adequacy assessment process and internal liquidity adequacy assessment process under the supervisory review and evaluation process

European Banking Authority guidelines on information to be collected for supervisory authorities to perform their assessments of internal capital adequacy assessment process (ICAAP) and internal liquidity adequacy assessment process (ILAAP) in accordance with EBA's guidelines for the supervisory review and evaluation process (SREP). Guidelines specify: i) general information about ICAAP and ILAAP frameworks, business model and strategy, as well as governance arrangements; ii) ICAAP-specific methodological, policy and operational information; iii) ILAAP-specific methodological, policy and operational information; and iv) management conclusions on ICAAP and ILAAP and quality assurance information.

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

Type: Guideline

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

Peer: Guidelines on ICT Risk Assessment Under SREP, Revised Procedures and Methodologies for the Supervisory Review and Evaluation Process and Supervisory Stress Testing

Topics: Capital adequacy, Liquidity risk and rules

Sectors: Banking

Implicit Support for Securitisation Transactions

EBA guidelines on capital treatment of securitizations

European Banking Authority guidelines set out objective test for definition of arm's length conditions and for assessing when a securitization transaction is structured in a manner that does not provide implicit support. Originating institutions that fail to structure the transaction in a manner that does not involve implicit support must hold capital against the exposure as if it had not been securitized. Includes provisions to avoid a scenario whereby support is provided on behalf of originator by another entity.

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

Type: Guideline

Parent: Capital Requirements Regulation - CRR, Capital Requirements Directive - CRD IV

Topics: Securitization, Capital adequacy, Credit risk

Sectors: Banking

Disclosure Requirements for Defined Benefit Pension Plans

OSFI guideline on disclosure of information for defined benefit plans

Office of the Superintendent of Financial Institutions guideline regarding disclosure of information to a plan member, former member, an employee eligible to join the plan, and that person's spouse or common-law partner. Also provides guidance to assist plan administrators in providing adequate and appropriate information.

Publisher: National Regulators Release date: Oct 2016 Country: Canada

Type: Guideline

Peer: Disclosure Requirements for Defined Contribution Pension Plans

Topics: Transparency and disclosure, Pension and retirement plans

Sectors: Pensions

Correspondent Banking Services

FATF guideline on application of its standard in context of correspondent banking services and money transfer service providers

Financial Action Task Force guidance on application of its international standards in context of correspondent banking relationships and money or value transfer services (MVTS) providers rendering similar services by: i) supporting development of a common understanding of what a risk-based approach entails for banks engaged in correspondent banking activity and MVTS providers rendering similar services; ii) clarifying interplay between FATF standards on cross-border correspondent banking and MVTS providers acting as intermediaries, and FATF standards on customer due diligence and wire transfers, as well as on targeted financial sanctions; iii) highlighting extent to which correspondent institutions and MVTS providers offering similar services may gain a sufficient understanding of the customers of the respondent institutions and the associated risks; and iv) clarifying expectations for correspondent institutions when dealing with respondents whose customer bases include MVTS providers.

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

Type: Guideline

Topics: Financial inclusion

Sectors: Banking

Disclosure Requirements for Defined Contribution Pension Plans

OSFI guideline on disclosure of information for defined contribution plans

Publisher: National Regulators Release date: Sep 2016 Country: Canada

Type: Guideline

Peer: Disclosure Requirements for Defined Benefit Pension Plans

Topics: Transparency and disclosure, Pension and retirement plans

Sectors: Pensions

OCC Guidelines on Recovery Planning

OCC final guidelines for recovery planning by large insured OCC-regulated institutions

US Office of the Comptroller of the Currency guidelines provide comprehensive framework for evaluating financial effects of severe stress that may affect a covered institution and options it may take to remain viable under such stress. Applies to national banks, federal savings associations, and federal branches of foreign banks with $50 billion or more in average total consolidated assets.

Publisher: National Regulators Release date: Sep 2016 Country: United States

Type: Guideline

Topics: Recovery and resolution

Sectors: Banking

Guidelines on the Application of the Definition of Default

EBA guidelines specify application of definition of default across the European Union

European Banking Authority guidelines clarify aspects related to application of definition of default including the days past due criterion for identification, indications of unlikeliness to pay, conditions for return to non-defaulted status, treatment of definition of default in external data, application of default definition in a banking group and specific aspects related to retail exposures.

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

Type: Guideline

Parent: Capital Requirements Regulation - CRR

Topics: Credit risk

Sectors: Banking

Guidelines on Remuneration Policies and Practices Related to the Sale and Provision of Retail Banking Products and Services

EBA guidelines to protect consumers and reduce conduct costs for financial institutions

European Banking Authority final guidelines on remuneration policies and practices related to provision and sale of retail banking products and services. Guidelines provide framework for implementation of remuneration policies and practices that will improve links between remuneration of sales staff and fair treatment of consumers, thus reducing the risk of mis-selling, and reduce the level of costs for firms arising from mis-selling settlements.

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

Type: Guideline

Topics: Consumer education and protection, Transparency and disclosure, Compliance function

Sectors: Banking

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Resources

382 records

Anti-Money Laundering and Countering the Financing of Terrorism Risk Factor Guidelines

FinTech Regulatory Sandbox Guidelines

Guidelines on Assessment of ICAAP and ILAAP under SREP

Implicit Support for Securitisation Transactions

Disclosure Requirements for Defined Benefit Pension Plans

Correspondent Banking Services

Disclosure Requirements for Defined Contribution Pension Plans

OCC Guidelines on Recovery Planning

Guidelines on the Application of the Definition of Default

Guidelines on Remuneration Policies and Practices Related to the Sale and Provision of Retail Banking Products and Services

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