Sound Practice

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Criteria for Identifying Short-Term Simple, Transparent and Comparable Securitisations

BCBS and IOSCO sound practice on criteria specifically for asset-backed commercial paper conduits

Basel Committee on Banking Supervision and International Organization of Securities Commissions sound practice on criteria for identifying "simple, transparent and comparable" (STC) securitizations that take account of the characteristics of short-term asset-backed commercial paper (ABCP) conduits, such as: i) short maturity of the commercial paper issued; ii) different forms of programme structures; and iii) existence of multiple forms of liquidity and credit support facilities.

Publisher: Global Standard-Setting Bodies Release date: May 2018

Type: Sound Practice

Parent: Revisions to the Basel Securitisation Framework

Peer: Criteria for Identifying Simple, Transparent and Comparable Securitisations, Capital Treatment for Short-Term "Simple, Transparent and Comparable" Securitisations

Topics: Securitization, Transparency and disclosure

Sectors: Banking, Securities

Prudential Practice Guide on Risk Management

APRA sound practice outlines prudent practices related to risk management

Australian Prudential Regulation Authority sound practice assists APRA-regulated institutions in complying with its Prudential Standard on Risk Management and outlines prudent practices in relation to risk management. Discusses: i) risk governance; ii) risk management culture; iii) risk management framework; iv) risk appetite; and v) risk management strategy.

Publisher: National Regulators Release date: Apr 2018 Country: Australia

Type: Sound Practice

Topics: Risk management, Corporate governance, Compliance function

Sectors: Banking, Insurance

Good Practices on Consumer Protection Related to Private Pension Systems

IOPS sound practice guidelines identify supervisory measures to enhance consumer protection

International Organisation of Pension Supervisors sound practice guidelines examine consumer protection in private pensions systems and the role of supervisory authorities. Identifies key areas and supervisory measures directed at enhancing consumer protection.

Publisher: Global Standard-Setting Bodies Release date: Feb 2018

Type: Sound Practice

Parent: G20 High-Level Principles on Financial Consumer Protection, IOPS Principles of Private Pension Supervision

Peer: Effective Approaches to Support Implementation of G20/IOSCO Principles on Financial Education and Awareness, Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2

Topics: Pension and retirement plans, Consumer education and protection, Conduct, Transparency and disclosure

Sectors: Pensions

Good Practices for Open-End Fund Liquidity and Risk Management

IOSCO sound practice for liquidity risk management by asset managers

International Organization of Securities Commissions sound practice addresses structural vulnerabilities identified by the Financial Stability Board regarding liquidity risk management in the asset management industry. Topics covered include: i) disclosure to investors; ii) alignment between asset portfolio and redemption terms; iii) availability and effectiveness of liquidity risk management tools; and iv) fund level stress testing.

Publisher: Global Standard-Setting Bodies Release date: Feb 2018

Type: Sound Practice

Peer: Liquidity Management Tools in Collective Investment Schemes

Topics: Liquidity risk and rules, Transparency and disclosure, Stress-testing

Sectors: Securities

Implications of FinTech Developments for Banks and Bank Supervisors

BCBS report examines impact of FinTech on banking industry and activities of supervisors

Basel Committee on Banking Supervision sound practice report on technology-driven innovation in financial services (FinTech). Provides an overview of the FinTech landscape and the current state of the industry, identification of challenges and implications for banks, and assessment of implications for supervisors and regulatory frameworks. Discusses certain technology developments (big data, distributed ledger technology and cloud computing) and FinTech business models (innovative payment services, lending platforms and neo-banks).

Publisher: Global Standard-Setting Bodies Release date: Feb 2018

Type: Sound Practice

Topics: Financial inclusion, Financial market infrastructure, FinTech

Sectors: Banking

Prudential Practice Guide on Securitisation

APRA standard on management of securitization risks

Australian Prudential Regulation Authority guidance on sound practice in relation to the involvement of authorized deposit-taking institutions (ADIs) in securitization. Aims to ensure that banks adopt prudent practices to manage risks associated with securitization and to ensure sufficient regulatory capital is held against associated credit risk. Key requirements are that banks must: i) have a risk management framework covering their involvement in a securitization; ii) ensure there is clear and prominent disclosure of nature and limitations of obligations arising from involvement in a securitization; iii) not provide implicit support to a securitization; and iv) calculate regulatory capital for credit risk against securitization exposures.

Publisher: National Regulators Release date: Jan 2018 Country: Australia

Type: Sound Practice

Topics: Securitization, Risk management, Transparency and disclosure, Capital adequacy, Credit risk

Sectors: Banking

Good Practices for Financial Consumer Protection

WB guidance on good practices in the design and implementation of consumer protection regimes in all financial sectors

World Bank Good Practices comprehensive guidance for assessing and strengthening consumer protection regimes in all parts of the financial sector. Addresses legal and regulatory frameworks, disclosure and transparency, business conduct practices, data protection and privacy, and dispute resolution. Provides a compilation of practices used successfully in a range of countries.

Publisher: International Organizations Release date: Dec 2017

Type: Sound Practice

Topics: Consumer education and protection, Conduct, Transparency and disclosure, Financial inclusion

Sectors: Banking, Insurance, Pensions, Securities

Good Practices for the Termination of Investment Funds

IOSCO good practices on the voluntary termination process for investment funds

International Organization of Securities Commissions good practices target broad range of investment funds, including collective investment schemes and other fund structures such as commodity, real estate and hedge funds. Report focuses on 14 sound practices addressing: i) disclosure at time of investment; ii) decision to terminate; iii) decision to merge; iv) during termination process; and v) specific types of investment funds.

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

Type: Sound Practice

Topics: Corporate governance, Transparency and disclosure, Conduct

Sectors: Securities

Order Routing Incentives

IOSCO report on practices used by market regulators regarding incentives for order routing that may influence treatment of clients by intermediaries

International Organization of Securities Commissions report on conduct requirements for brokers and firms to manage conflicts of interest associated with routing orders and obtaining best execution. Reviews approaches and practices used by regulators regarding incentives for order routing and execution. Assesses how requirements interact with market practices in different jurisdictions to shape order routing incentives and how these incentives influence behaviour of intermediaries towards their clients.

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

Type: Sound Practice

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

Sectors: Securities

UK Money Markets Code

BoE voluntary code sets out a common set of principles to promote integrity and effective functioning of the UK money market

Bank of England voluntary UK Money Markets Code sets out standards and best practices expected from participants in the deposit, repo and securities lending markets. Code is underpinned by the key principle that participants should always act in a manner to promote the integrity and effective functioning of these markets. Outlines six high-level principles encompassing ethics, governance, risk management, confidentiality, execution and settlement.

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

Type: Sound Practice

Topics: Corporate governance, Conduct

Sectors: Banking

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Resources

382 records

Criteria for Identifying Short-Term Simple, Transparent and Comparable Securitisations

Prudential Practice Guide on Risk Management

Good Practices on Consumer Protection Related to Private Pension Systems

Good Practices for Open-End Fund Liquidity and Risk Management

Implications of FinTech Developments for Banks and Bank Supervisors

Prudential Practice Guide on Securitisation

Good Practices for Financial Consumer Protection

Good Practices for the Termination of Investment Funds

Order Routing Incentives

UK Money Markets Code

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