Pensions

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Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2

OECD guidance on implementing certain of its consumer protection principles

Organisation for Economic Co-operation and Development guidance addresses six of the 10 G20/OECD High-Level Principles on Financial Consumer Protection: i) legal, regulatory and supervisory framework; ii) role of oversight bodies; iii) equitable and fair treatment of consumers; iv) protection of consumer assets against fraud and misuse; v) protection of consumer data and privacy; and vi) competition.

Publisher: International Organizations Release date: Sep 2014

Type: Guideline

Parent: G20 High-Level Principles on Financial Consumer Protection

Peer: G20 High-Level Principles on Financial Consumer Protection, Good Practices on Consumer Protection Related to Private Pension Systems , Effective Approaches to Support Implementation of G20/IOSCO Principles on Financial Education and Awareness

Topics: Consumer education and protection, Corporate governance, Conduct

Sectors: Pensions

The UK Corporate Governance Code

Updated code of corporate governance focuses on risks to longer term viability

UK Financial Reporting Council updated corporate governance code focuses on the provision by companies of information about the risks which affect longer term viability. Main principles are: i) leadership; ii) effectiveness; iii) accountability; iv) remuneration; and v) relations with shareholders.

Publisher: National Regulators Release date: Sep 2014 Country: United Kingdom

Type: Supervisory Practice

Topics: Corporate governance, Transparency and disclosure

Sectors: Pensions

Global Economic Crisis and Gender Equality

UN discussion of effect of 2007/08 global financial crisis on women's economic and social rights

United Nations analysis of effect of global economic crisis on women. Recommends actions in the following areas: i) job creation and support for social protection policies; ii) better regulation of finance to promote equitable economies; and iii) facilitate access to quality services, infrastructure and essential goods such as food, which can reduce and redistribute disproportionate share of unpaid care work performed by low-income women and create basic foundations for social and economic recovery.

Publisher: International Organizations Release date: Sep 2014

Type: Consultative, discussion and issues paper

Topics: Gender equality, Consumer education and protection, Financial inclusion

Sectors: Pensions

Report on Responsible Lending

FinCoNet report reviews supervisory tools for suitable consumer lending practices

International Financial Consumer Protection Organization sets out responsible lending obligations in relation to a full suite of consumer credit products, with a focus on consumer protection. Identifies practices and initiatives that promote responsible lending in the consumer credit market. Emphasizes importance of supervisory and enforcement capabilities.

Publisher: Others Release date: Jul 2014

Type: Consultative, discussion and issues paper

Peer: Guidance to Supervisors on Setting Standards for Sales Incentives and Responsible Lending, Impact of Sales Incentives on the Sale of Consumer Credit Products

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

Sectors: Pensions

Applying Behavioral Insights in Consumer Protection Policy

CGAP note sets out evidence on selected behavioural biases relevant to financial consumer protection

Consultative Group to Assist the Poor focus note explores how behavioural research can offer important tools for effective policy-making in four priority consumer protection topics: i) disclosure, transparency, and product choice; ii) complaints handling and recourse; iii) credit market regulation and debt stress; and iv) fair treatment.

Publisher: International Organizations Release date: Jun 2014

Type: Consultative, discussion and issues paper

Sectors: Pensions

Markets in Financial Instruments Directive - MiFID II

EU directive establishing the legal framework governing investment services in financial instruments by banks and investment firms

European Union legal framework for banks and investment firms that must be transposed into national law in all EU jurisdictions. Provides for: i) conduct of business and organizational requirements for investment firms; ii) authorization requirements for regulated markets; iii) regulatory reporting to avoid market abuse; iv) trade transparency obligation for shares; and v) rules on admission of financial instruments to trading.

Publisher: Regional Standard-Setting Bodies Release date: May 2014

Type: Law, Regulation and Policy

Topics: Supervisory framework, Risk management, Corporate governance, Capital adequacy, Systemically important financial institutions (SIFIs), Macroprudential

Sectors: Pensions

Establishing a Financial Consumer Protection Supervision Department

WB note sets out key observations and lessons learned in five case study countries

World Bank technical note to assist policymakers and regulators seeking to establish a financial consumer protection supervision department within a financial regulatory body. Covers key aspects of the design process: supervisory agenda, organizational structure, supervisory activities, relationship with prudential supervision, and staffing needs.

Publisher: International Organizations Release date: Mar 2014

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Supervisory structures

Sectors: Pensions

Financial Education Programs and Strategies

WB brief discusses approaches and available resources

World Bank brief provides practical guidance to countries to develop effective financial education programs and strategies. Outlines essential operational steps aimed at maximizing the benefits of financial education initiatives. Annexes feature conclusions from recently completed impact evaluation studies.

Publisher: International Organizations Release date: Jan 2014

Type: Consultative, discussion and issues paper

Peer: Global Survey on Consumer Protection and Financial Literacy, Financial Capability Surveys Around the World

Topics: Financial inclusion, Consumer education and protection

Sectors: Pensions

Global Survey on Consumer Protection and Financial Literacy

WB survey report on oversight frameworks and practices in 114 countries

World Bank report summarizes key results of a global survey on consumer protection and financial literacy that collected information from financial regulatory agencies in 114 economies. Survey examined: i) legal frameworks; ii) institutional arrangements; iii) disclosure requirements; iv) responsible lending; v) dispute resolution and recourse; and vi) financial literacy.

Publisher: International Organizations Release date: Jan 2014

Type: Consultative, discussion and issues paper

Peer: Financial Education Programs and Strategies , Financial Capability Surveys Around the World

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

Sectors: Pensions

Good Practices for Governance of Pension Supervisory Authorities

IOPS guideline building upon the supervisory authority governance principles set out in the IOPS Principles of Private Pension Supervision

International Organization of Pension Supervisors guideline applicable to various types of organizational structures of pension supervisory authorities (specialized, partially integrated and integrated) and a wide range of governance arrangements. Guidelines address: i) governance structure; ii) decision making process; iii)) internal and external controls; iv) codes of conduct and managing conflicts of interest; v) appeal procedures; vi) performance measurement and training; vii) accountability; and viii) communication.

Publisher: Global Standard-Setting Bodies Release date: Oct 2013

Type: Guideline

Parent: IOPS Principles of Private Pension Supervision

Topics: Supervisory framework, Corporate governance

Sectors: Pensions

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Resources

382 records

Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2

The UK Corporate Governance Code

Global Economic Crisis and Gender Equality

Report on Responsible Lending

Applying Behavioral Insights in Consumer Protection Policy

Markets in Financial Instruments Directive - MiFID II

Establishing a Financial Consumer Protection Supervision Department

Financial Education Programs and Strategies

Global Survey on Consumer Protection and Financial Literacy

Good Practices for Governance of Pension Supervisory Authorities

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