Supervisory Practice

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Supervisory Guidance on Board of Directors' Effectiveness

FRB guidance to enhance the effectiveness of bank boards

US Federal Reserve Board guidance describes the key attributes of effective boards at large domestic bank holding companies and savings and loan holding companies to: i) set clear, aligned and consistent direction regarding the firm's strategy and risk appetite; ii) direct senior management regarding the board's information needs; iii) oversee and hold senior management accountable; iv) support the independence and stature of independent risk management and internal audit; and v) maintain a capable board composition and governance structure. The guidance also includes illustrative examples of effective board practices.

Publisher: National Regulators Release date: Mar 2021 Country: United States

Type: Supervisory Practice

Topics: Corporate governance

Sectors: Banking

Depositor and Dormant Account Protection

PRA supervisory statement on its expectations regarding depositor protection rules

UK Prudential Regulation Authority supervisory statement sets out expectations on deposit-takers with regards to depositor protection rules. Areas covered include: i) eligibility for deposit protection; ii) disclosure; iii) marking eligible deposits and transitional issues; iv) temporary high balances; v) Dormant Account Scheme information requirements; vi) calculation of levies; vii) Single Customer View; viii) in-flight transactions; ix) continuity of access; and x) change in the deposit protection limit.

Publisher: National Regulators Release date: Mar 2021 Country: United Kingdom

Type: Supervisory Practice

Topics: Deposit insurance, Consumer education and protection, Transparency and disclosure

Sectors: Banking

Minimum Requirement for Own Funds and Eligible Liabilities (MREL) - Buffers and Threshold Conditions

PRA supervisory statement on relationship between MREL and regulatory capital buffers and threshold conditions

UK Prudential Regulation Authority supervisory statement regarding relationship between minimum requirement for own funds and eligible liabilities (MREL) and regulatory buffers. Sets out PRA's expectations regarding relationship between MREL and PRA's Threshold Conditions, the minimum requirements that firms must meet in order to be permitted to carry on regulated activities. Role of MREL is to make resolution strategies workable by ensuring that there are equity and liabilities within the firm that can credibly absorb losses and recapitalize businesses that need to continue operating.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Supervisory Practice

Parent: Bank Recovery and Resolution Directive (BRRD)

Topics: Capital adequacy, Recovery and resolution, Licensing

Sectors: Banking

Resolution Planning

BOE-PRA Supervisory Statement setting out details on information that firms should submit to facilitate resolution planning

Bank of England Prudential Regulatory Authority Supervisory Statement setting out details on information that firms should submit to the PRA to facilitate resolution planning. Aimed at firms to which the Resolution Pack Part of the PRA Rulebook applies. Issued pursuant to the PRA's Policy Statement on implementing the EU's Bank Recovery and Resolution Directive.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Supervisory Practice

Topics: Recovery and resolution

Sectors: Banking, Securities

The PRA's Methodologies for Setting Pillar 2 Capital

PRA policy statement on its Pillar 2 capital requirements

UK Prudential Regulatory Authority statement of policy sets out the methodologies that the PRA uses to inform the setting of Pillar 2 capital for all PRA-regulated banks, building societies, designated investment firms and all PRA-approved or PRA-designated holding companies.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Supervisory Practice

Parent: Capital Requirements Directive - CRD IV, Capital Requirements - CRD IV/CRR – Frequently Asked Questions

Peer: Assessing Capital Adequacy Under Pillar 2

Topics: Capital adequacy, Credit risk, Market risk, Operational risk, Interest rate risk

Sectors: Banking

Strengthening Individual Accountability in Banking

PRA sets out how firms and individuals should comply with its Senior Managers Regime

UK Prudential Regulation Authority supervisory statement sets out the PRA's expectations of how firms should comply with the regulatory framework of: i) the Senior Managers Regime (SMR); ii) the Certification Regime; iii) assessment of fitness and propriety; and iv) Conduct Rules.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Supervisory Practice

Topics: Supervisory framework, Corporate governance

Sectors: Banking, Securities

Recovery Planning in the UK

PRA expectations on the content of recovery plans

Bank of England Prudential Regulatory Authority's expectations on the content of recovery plans and group recovery plans. Issued pursuant to the PRA's Policy Statement on implementing the EU's Bank Recovery and Resolution Directive.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Supervisory Practice

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Guidelines on the Range of Scenarios to be Used in Recovery Plans, Guidelines on Recovery Plan Indicators, Content of Recovery Plans, Resolution Plans and Group Resolution Plans

Topics: Recovery and resolution

Sectors: Banking, Securities

The UK Leverage Ratio Framework

Supervisory practice for UK leverage ratio framework

UK Prudential Regulatory Authority supervisory statement on UK leverage ratio framework. Sets out PRA's expectations on leverage ratio buffers and reporting and disclosure of the leverage ratio, as well as provides clarification on PRA rules.

Publisher: National Regulators Release date: Nov 2020 Country: United Kingdom

Type: Supervisory Practice

Peer: Policy on UK Leverage Ratio Framework

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

Sectors: Banking

Supervising Liquidity and Funding Risks

PRA supervisory statement on liquidity risk

UK Prudential Regulation Authority supervisory statement sets out PRA's approach to supervising liquidity and funding risks. Covers its expectations regarding: i) Internal Liquidity Adequacy Assessment Process; ii) Liquidity Supervisory Review and Evaluation Process; iii) drawing down Liquid Asset Buffers; iv) collateral placed at Bank of England; v) daily reporting under stress; and vi) disclosure of Pillar 2 guidance. Updated March 2020.

Publisher: National Regulators Release date: Sep 2020 Country: United Kingdom

Type: Supervisory Practice

Topics: Liquidity risk and rules, Stress-testing, Recovery and resolution

Sectors: Banking

Strengthening Individual Accountability in Insurance

PRA supervisory statement sets out expectations of how firms should comply with its Senior Insurance Managers Regime

UK Prudential Regulation Authority supervisory statement sets out expectations of how firms should comply with the regulatory framework of the Senior Insurance Managers Regime (SIMR) including: i) compliance with the SIMR; ii) application of conduct standards and associated notifications; and iii) assessing fitness and propriety.

Publisher: National Regulators Release date: Feb 2020 Country: United Kingdom

Type: Supervisory Practice

Topics: Conduct, Corporate governance

Sectors: Insurance

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Resources

382 records

Supervisory Guidance on Board of Directors' Effectiveness

Depositor and Dormant Account Protection

Minimum Requirement for Own Funds and Eligible Liabilities (MREL) - Buffers and Threshold Conditions

Resolution Planning

The PRA's Methodologies for Setting Pillar 2 Capital

Strengthening Individual Accountability in Banking

Recovery Planning in the UK

The UK Leverage Ratio Framework

Supervising Liquidity and Funding Risks

Strengthening Individual Accountability in Insurance

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