Pensions

382 records

No records

Conduct Supervision

TC note about prevention, detection and deterrence of abuses by financial institutions

Toronto Centre note explains: i) how different financial sector authorities define and seek to detect and deter conduct abuses and mitigate their impact; ii) how supervisory measures to achieve prudential and conduct objectives and related risks differ in emphasis; iii) how different financial sector authorities approach conduct supervision; and iv) why prudential, conduct and stability issues are linked.

Publisher: Toronto Centre Release date: Feb 2016

Type: TC Notes

Peer: Supervisory Responses to Retail Misconduct

Topics: Corporate governance, Conduct

Sectors: Pensions

EIOPA's Strategy Towards a Comprehensive Risk-Based and Preventive Framework for Conduct of Business Supervision

EIOPA consultation outlines its strategic approach and tools to implement this framework

European Insurance and Occupational Pensions Authority consultation paper sets out EIOPA's strategic approach to developing a comprehensive risk-based and preventive framework for conduct of business supervision on a European level.

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

Type: Consultative, discussion and issues paper

Topics: Conduct

Sectors: Pensions

Improving Corporate Governance in Regulated Firms

TC note discusses how to supervise corporate governance

Toronto Centre note sets out: i) key principles of corporate governance within a regulated financial services firm; ii) why it is important for supervisors to assess standards of corporate governance in firms they supervise; and iii) how supervisors may improve standards of corporate governance in firms they supervise.

Publisher: Toronto Centre Release date: Jan 2016

Type: TC Notes

Topics: Corporate governance

Sectors: Pensions

Organizational Alternatives for Supervisors

TC note provides advice for supervisors when examining suitability of organizational alternatives

Toronto Centre note helps supervisors make appropriate choices when considering the suitability of supervisory agency organizational alternatives in context of their particular circumstances. Discusses role that supervisory objectives and international standards might play when considering organizational alternatives.

Publisher: Toronto Centre Release date: Jan 2016

Type: TC Notes

Topics: Supervisory framework, Supervisory structures

Sectors: Pensions

A Call to Action for Gender Equality and Women's Economic Empowerment

UNSG report presents actions to address gender gaps and accelerate progress for women's economic empowerment

United Nations Secretary-General's High-Level Panel on Women's Economic Empowerment report examines the case for women's economic empowerment, its timeliness and the current landscape. Identifies seven drivers and four areas of work by women, and sets out an agenda for action. Seven drivers are: i) tackling adverse norms and promoting positive role models; ii) ensuring legal protection and reforming discriminatory laws and regulations; iii) recognizing, reducing and redistributing unpaid work and care; iv) building assets - digital, financial and property; v) changing business culture and practice; vi) improving public sector practices in employment and procurement; and vii) strengthening visibility, collective voice and representation. Four areas of work are: i) informal work; ii) formal sector employees; iii) agriculture; and iv) women-owned enterprises.

Publisher: International Organizations Release date: Jan 2016

Type: Consultative, discussion and issues paper

Peer: Taking Action for Transformational Change on Women's Economic Empowerment

Topics: Gender equality, Financial inclusion

Sectors: Pensions

Modernizing Money Management: How Technology is Transforming Asset and Wealth Management

IIF consultation examines how new technologies are transforming asset and wealth management industry

Institute of International Finance consultation discusses how new technologies and software-based companies are transforming asset and wealth management (AWM). New technology provides opportunities for traditional AWM firms while challenging them to re-invent business models. Traditional firms in the asset and wealth management industry will need to strategically respond to new sources of competition from well-funded software-driven companies that are making significant inroads in the market by focusing on unmet client demands, bringing down costs, and providing innovative new services.

Publisher: Others Release date: Dec 2015

Type: Consultative, discussion and issues paper

Topics: Operational risk, Pension and retirement plans

Sectors: Pensions

Deadline for comments: Sep 2016

Modernizing Money Management: How Technology is Transforming Asset and Wealth Management

IIF consultation examines how new technologies are transforming asset and wealth management industry

Publisher: Others Release date: Dec 2015

Type: Consultative, discussion and issues paper

Topics: Operational risk, Pension and retirement plans

Sectors: Pensions

UK Market Conduct Regulator's Approach to Advancing its Objectives 2015

FCA guidance sets out how it intends to deliver its statutory responsibilities

Financial Conduct Authority's guidance sets out what firms and consumers can expect from the FCA and how it intends to deliver on its statutory responsibilities. Based around the FCA's three operational objectives of: i) protecting consumers; ii) ensuring market integrity; and iii) promoting effective competition.

Publisher: National Regulators Release date: Dec 2015 Country: United Kingdom

Type: Guideline

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

Sectors: Pensions

The Concept of Target Retirement Income: Supervisory Challenges

IOPS discussion paper on supervisory challenges in relation to concept of targeted retirement income

International Organization of Pension Supervisors paper discusses supervisory challenges in relation to concept of target retirement income (TRI). TRI framework attempts to shift short-term focus of pension providers and investment managers towards long-term income perspective of retirement savers. Pension supervisors should make sure that TRI framework contains the following five key features: i) retirement target is defined and presented to members as lifetime income or range of income levels expected in return for assuming a pre-defined level of risk; ii) both expected risk and return are measured and presented in a meaningful way; iii) projections as well as probability of meeting stated retirement goals are reasonable; iv) pension fund members understand fundamental link between level of target and contribution rates and are offered a range of choices when ongoing investment results suggest that target is not likely to be reached; and v) members understand consequences of above choices.

Publisher: Global Standard-Setting Bodies Release date: Dec 2015

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Pension and retirement plans

Sectors: Pensions

Conflicts of Interest in Financial Services

TC note discusses key issues around conflicts of interest supervision

Toronto Centre note addresses: i) definition of conflicts of interest and why they are important; ii) fiduciary duties and how they "up the ante" on conflicts; iii) psychology about conflicts of interest; iv) how conflicts may arise in context of financial services; v) international regulatory responses; and vi) when supervisors should be alarmed.

Publisher: Toronto Centre Release date: Dec 2015

Type: TC Notes

Topics: Corporate governance, Transparency and disclosure

Sectors: Pensions

Display # Page 25 of 33 Total: 328

Start
Prev
20
21
22
23
24
25
26
27
28
29
Next
End

Resources

382 records

Conduct Supervision

EIOPA's Strategy Towards a Comprehensive Risk-Based and Preventive Framework for Conduct of Business Supervision

Improving Corporate Governance in Regulated Firms

Organizational Alternatives for Supervisors

A Call to Action for Gender Equality and Women's Economic Empowerment

Modernizing Money Management: How Technology is Transforming Asset and Wealth Management

Modernizing Money Management: How Technology is Transforming Asset and Wealth Management

UK Market Conduct Regulator's Approach to Advancing its Objectives 2015

The Concept of Target Retirement Income: Supervisory Challenges

Conflicts of Interest in Financial Services

Browse by Category

TC Notes

Sector

Topic

Country

Resource Type

Year Released

Publisher Type