Pensions

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Consumer Protection: Leveling the Playing Field in Financial Inclusion

AFI note examines the role of consumer protection in financial inclusion

Alliance for Financial Inclusion policy note concludes that: i) benefits of financial inclusion can be lost without adequate consumer protection; ii) consumers need information to make good decisions; iii) market discipline facilitates financial market expansion; iv) improving financial literacy requires a multi-stakeholder framework involving consumers, financial institutions and governments; v) market conduct regulations should be consistent across the financial sector; and vi) general consumer protection laws often fail financial consumers.

Publisher: Others Release date: Jan 2010

Type: Consultative, discussion and issues paper

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

Sectors: Pensions

Tools for Regulatory Quality and Financial Sector Regulation

OECD comparative analysis on improving the quality of regulation

Organisation for Economic Co-operation and Development report compares how certain international standards intended to improve the quality regulation are applied in the United States, Canada, Australia, the United Kingdom and France. Compares key provisions of the Basel Core Principles and IOSCO Objectives and Principles of Securities Regulation with the OECD's 2005 Guiding Principles for Regulatory Quality and Performance, and 2009 Policy Framework for Effective and Efficient Financial Regulation. Analyzes regulatory independence and accountability, powers, impact assessments, and accountability mechanisms.

Publisher: International Organizations Release date: Dec 2009

Type: Consultative, discussion and issues paper

Peer: Policy Framework for Effective and Efficient Financial Regulation

Topics: Transparency and disclosure, Supervisory framework, Corporate governance

Sectors: Pensions

Gender and Corruption

U4 baseline on research on gender and corruption

Anti-Corruption Research Centre study argues that corruption has a disproportionate impact on women, particularly those living in fragile states. Good practices to mitigate effects of corruption on women include improved female participation in oversight processes and accountability systems.

Publisher: Others Release date: Jun 2009

Type: Consultative, discussion and issues paper

Topics: Gender equality

Sectors: Pensions

Guidelines for Pension Fund Governance

OECD framework for strengthening pension fund governance in order to better serve the needs of members and beneficiaries

Organisation for Economic Co-operation and Development revised guidelines for strengthening pension fund governance. Deals with issues such as stakeholder representation in pension fund boards, the requirements of expertise and knowledge of the board and the implementation of risk-based governance structures and mechanisms.

Publisher: International Organizations Release date: May 2009

Type: Guideline

Topics: Corporate governance, Pension and retirement plans

Sectors: Pensions

Gender and the Financial Crisis

UNESCO discussion paper identifies gendered causes and consequences of global financial crisis

United Nations Educational, Scientific and Cultural Organization discussion paper identifies hidden gendered causes and consequences of global financial crisis in order to improve knowledge base for policy development. Includes: i) gendered assumptions underlying financial and macroeconomic policies; ii) gender composition of decision makers and of beneficiaries or losers in the financial and "real" economy; and iii) as issues of regulation, transparency and democracy, which have implications for women's human rights and empowerment. Paper is divided into four sections: i) gendering of financial architecture; ii) gendering of impact of financial crisis; iii) gendering of policy responses to crisis; and iv) conclusion assessing implications of gender and for gender of financial crisis.

Publisher: International Organizations Release date: Apr 2009

Type: Consultative, discussion and issues paper

Topics: Gender equality, Financial inclusion

Sectors: Pensions

Outsourcing of Business Activities, Functions and Processes

OSFI guideline for outsourcing business activities to external providers

Office of the Superintendent of Financial Institutions of Canada guideline setting out expectations for regulated firms that outsource business activities to service providers. Firms are expected to: i) evaluate risks associated with existing and proposed outsourcing arrangements; ii) develop processes for determining materiality of arrangements; iii) implement programs for managing and monitoring risks, commensurate with materiality of arrangements; iv) ensure that boards of directors, chief agents or principal officers receive information sufficient to enable them to discharge their duties under the guideline and; v) refrain from outsourcing certain business activities to external auditors.

Publisher: National Regulators Release date: Feb 2009 Country: Canada

Type: Guideline

Peer: New Technology-Based Outsourcing Arrangements

Topics: Risk management, Operational risk

Sectors: Pensions

Supervisory Oversight of Pension Fund Governance

Results of IOPS survey on supervisory oversight of pension fund governance

Analyses member responses to survey on supervisory oversight of pension fund governance by the International Organization of Pension Supervisors. Covers current focus, issues and problems as well as future developments. Includes case studies to illustrate the different types of issues that pension fund systems may face and the means that may be adopted by the relevant supervisory authorities to resolve these issues.

Publisher: Global Standard-Setting Bodies Release date: Jul 2008

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Pension and retirement plans

Sectors: Pensions

Pension Fund Governance: Challenges and Potential Solutions

OECD paper advocating ways to resolve cases of governance failures

Organisation for Economic Co-operation and Development paper suggesting that some of the more serious cases of governance failures could be solved through a more balanced representation of stakeholders in the governing body, higher levels of expertise and the implementation of codes of conduct addressing conflicts of interest. The absence of governance arrangements for defined contribution style pension plans also needs to be addressed, potentially via management committees, increased fiduciary responsibility for relevant parties or via a strengthened role for pension supervisory authorities. Consolidation of the pension industry in some countries may also be required to achieve economies of scale and reduce costs, which in turn would allow pension funds to dedicate more resources to strengthening their internal governance.

Publisher: International Organizations Release date: May 2008

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Pension and retirement plans

Sectors: Pensions

Good Practices for Financial Education Relating to Private Pensions

OECD principles for improved consumer education on private pensions

Organisation for Economic Co-operation and Development principles to promote financial awareness and education relating to private pensions. Sets out: i) framework, definition and objectives of financial education and retirement products; ii) main stakeholders' role and responsibilities in enhancing public awareness and capability on retirement income issues; and iii) methodology: evaluation of needs, or programmes and of means at hand.

Publisher: International Organizations Release date: Mar 2008

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Financial inclusion

Sectors: Pensions

The Structure of Financial Supervision

G30 report reviews range of regulatory and supervisory approaches

Group of 30 report reviews regulatory and supervisory approaches of 17 jurisdictions in order to illustrate the implications of adopting one or another of the four principle models of supervisory oversight. Demonstrates commonality of challenges faced by supervisors around the globe, and illuminates the many different structural solutions adopted by supervisors addressing these common challenges within their own particular economic, political, and cultural contexts. Assesses four approaches to financial supervision currently employed across the globe: i) institutional; ii) functional; iii) integrated; and iv) twin peaks. Describes key design issues of each supervisory model, illustrates how each has been implemented in practice, and assesses strengths and weaknesses of each approach.

Publisher: Industry Groups Release date: Jan 2008

Type: Consultative, discussion and issues paper

Topics: Supervisory framework

Sectors: Pensions

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Resources

382 records

Consumer Protection: Leveling the Playing Field in Financial Inclusion

Tools for Regulatory Quality and Financial Sector Regulation

Gender and Corruption

Guidelines for Pension Fund Governance

Gender and the Financial Crisis

Outsourcing of Business Activities, Functions and Processes

Supervisory Oversight of Pension Fund Governance

Pension Fund Governance: Challenges and Potential Solutions

Good Practices for Financial Education Relating to Private Pensions

The Structure of Financial Supervision

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