Law, Regulation and Policy

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PRA's Approach to Enforcement: Statutory Statements of Policy and Procedure

Update of BOE policy first published in 2013

Bank of England (BOE) Prudential Regulation Authority (PRA) policy statement on how it will exercise disciplinary powers over external auditors and actuaries.

Publisher: National Regulators Release date: Mar 2019 Country: United Kingdom

Type: Law, Regulation and Policy

Topics: Accounting, actuarial and auditing , Early intervention and enforcement

Sectors: Banking

The Prudential Regulation Authority's Approach to Implementation of the Systemic Risk Buffer

PRA statement of policy on its' approach to implementation of systemic risk buffer

UK Prudential Regulation Authority implementation of the systemic risk buffer (SRB). Framework applies to large banks and specifies set of criteria for assessing the extent to which the failure or distress of an SRB institution might post a long term non-cyclical systemic or macroprudential risk. Creates methodology for measuring the criteria and giving SRB institutions a single score in relation to the criteria with a corresponding SRB rate.

Publisher: National Regulators Release date: Dec 2018 Country: United Kingdom

Type: Law, Regulation and Policy

Topics: Systemic risk, Systemically important financial institutions (SIFIs), Capital adequacy, Macroprudential

Sectors: Banking

Rules on Loss-Absorbing Capacity Requirements for Banks

HKMA rules on bank loss-absorbing capital requirements to support orderly failure resolution

Hong Kong Monetary Authority rules impose requirement on banks to maintain a minimum level of loss-absorbing capacity (LAC) to facilitate orderly failure resolution. Sets out the relationship between regulatory capital and LAC, external and internal (within group) LAC requirements, LAC eligibility criteria, restrictions on the sale and distribution of LAC debt instruments, a minimum debt requirement, and reporting and disclosure requirements.

Publisher: National Regulators Release date: Oct 2018 Country: Hong Kong, China

Type: Law, Regulation and Policy

Topics: Capital adequacy, Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

Notice on Risk Based Capital Adequacy Requirements for Banks in Singapore

MAS notice establishes minimum capital adequacy ratios for banks and the methodology to calculate the ratios

Monetary Authority of Singapore notice establishes minimum capital adequacy ratios for banks and the methodology they must use to calculate these ratios (Pillar 1). Provides a range of approaches for calculating regulatory capital based on the complexity and sophistication of a bank's businesses and operations. Requires banks to consider whether they have adequate capital to cover exposure to all risks and sets out MAS expectations for bank's internal capital adequacy assessment process (Pillar 2). Specifies minimum disclosure requirements in relation to capital adequacy.

Publisher: National Regulators Release date: Oct 2018 Country: Singapore

Type: Law, Regulation and Policy

Parent: Basel III Leverage Ratio Framework and Disclosure Requirements, Revisions to the Basel III Leverage Ratio Framework

Peer: Risk Based Capital Adequacy Requirements

Topics: Capital adequacy, Credit risk, Market risk, Operational risk, Securitization, Transparency and disclosure

Sectors: Banking

The Prudential Regulation Authority's Approach to Banking Supervision

PRA description of how it carries out its prudential regulatory role for deposit-takers and investment firms

UK Prudential Regulation Authority policy document meets PRA's statutory requirement to issue guidance on how it intends to advance its objectives. Communicates PRA's expectation to regulated firms and what they can expect from PRA in the course of supervision. Document: i) describes PRA's general statutory objective and its approach to advancing it; ii) outlines how it determines focus of its supervision in identifying key risks to its objective; iii) examines measures that it expects firms to have in place to ensure their businesses are run in a safe and sound manner; iv) sets out more detail on PRA's supervisory approach; and v) outlines PRA's approach to setting and communicating expectations of firms.

Publisher: National Regulators Release date: Oct 2018 Country: United Kingdom

Type: Law, Regulation and Policy

Topics: Supervisory framework, Risk-based supervision, Corporate governance, Capital adequacy, Liquidity risk and rules, Transparency and disclosure

Sectors: Banking, Securities

The Prudential Regulation Authority's Approach to Insurance Supervision

PRA description of how it carries out its prudential regulatory role for insurers

UK Prudential Regulation Authority policy document meets PRA's statutory requirement to issue guidance on how it intends to advance its objectives. Communicates PRA's expectation to regulated insurers and what they can expect from PRA in the course of supervision. Document: i) describes PRA's statutory objectives and its approach to advancing them; ii) outlines how it determines focus of its supervision in identifying key risks to its primary objectives; iii) examines measures that it expects insurers to have in place to ensure their businesses are run in a safe and sound manner; iv) details PRA's supervisory approach; and v) outlines PRA's approach to setting and communicating expectations of insurers.

Publisher: National Regulators Release date: Oct 2018 Country: United Kingdom

Type: Law, Regulation and Policy

Peer: Financial Management and Planning by Insurers

Topics: Supervisory framework, Risk-based supervision, Corporate governance, Capital adequacy, Transparency and disclosure

Sectors: Insurance

Single-Counterparty Credit Limits for Bank Holding Companies and Foreign Banking Organizations

FRB rule to address risks associated with large credit exposures

US Federal Reserve Board addresses credit exposures of large banking organizations to a single counterparty. Rule increases in stringency based on the systemic importance of firms to which they apply.

Publisher: National Regulators Release date: Jun 2018 Country: United States

Type: Law, Regulation and Policy

Topics: Credit risk, Systemic risk, Systemically important financial institutions (SIFIs)

Sectors: Banking

The Bank of England's Policy on Valuation Capabilities to Support Resolvability

BoE statement of policy valuations to support resolvability

Bank of England consultation sets out policy for the capabilities firms should have in place to ensure that an inability to produce timely and robust resolution valuations does not impede resolvability. Policy addresses the data, systems, and processes that collectively support valuations of a firm's assets, liabilities and equity.

Publisher: National Regulators Release date: Jun 2018 Country: United Kingdom

Type: Law, Regulation and Policy

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

Sectors: Banking

Pillar 2 Liquidity Framework

PRA policy on cashflow mismatch risk framework and other means for assessing liquidity risk

UK Prudential Regulation Authority policy on a cashflow mismatch risk (CFMR) framework and other PRA methodologies to assess firms' liquidity risk under Pillar 2.

Publisher: National Regulators Release date: Feb 2018 Country: United Kingdom

Type: Law, Regulation and Policy

Peer: CRD IV: Liquidity

Topics: Liquidity risk and rules

Sectors: Banking, Securities

Minimum Requirements on the System of Governance of Insurance Undertakings

BaFin circular sets out minimum governance requirements under the Insurance Supervision Act

Federal Financial Supervisory Authority of Germany (BaFin) circular summarizes minimum requirements based on its interpretation of the Insurance Supervision Act and the European Union's Solvency II Directive. Addresses the overall roles and responsibilities of supervisory boards and management boards.

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

Type: Law, Regulation and Policy

Parent: Insurance Supervision Act: Amendment Promulgated in the Federal Law Gazette, Taking-up and Pursuit of the Business of Insurance and Reinsurance (Solvency II)

Topics: Corporate governance, Risk management

Sectors: Insurance

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Resources

382 records

PRA's Approach to Enforcement: Statutory Statements of Policy and Procedure

The Prudential Regulation Authority's Approach to Implementation of the Systemic Risk Buffer

Rules on Loss-Absorbing Capacity Requirements for Banks

Notice on Risk Based Capital Adequacy Requirements for Banks in Singapore

The Prudential Regulation Authority's Approach to Banking Supervision

The Prudential Regulation Authority's Approach to Insurance Supervision

Single-Counterparty Credit Limits for Bank Holding Companies and Foreign Banking Organizations

The Bank of England's Policy on Valuation Capabilities to Support Resolvability

Pillar 2 Liquidity Framework

Minimum Requirements on the System of Governance of Insurance Undertakings

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