Pensions

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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

Pension Plan Governance Guidelines & Self-Assessment Questionnaire

CAPSA voluntary guidelines for pension plan administrators

Canadian Association of Pension Supervisory Authorities guidelines and self-assessment questionnaire to assist pension plan administrators in fulfilling governance responsibilities by achieving and maintaining good governance practices. Pension plan administrators are expected to take measures to follow the guidelines. CAPSA subsequently released a Frequently Asked Questions companion document in June, 2005, to provide pension plan administrators with general guidance, additional clarification and examples related to the guideline and self-assessment questionnaire.

Publisher: Subnational Regulators Release date: Oct 2004

Type: Guideline

Topics: Corporate governance, Risk management, Transparency and disclosure, Compliance function

Sectors: Pensions

Regulatory Framework

Guide for businesses and individuals licensed or registered with FSCO

Financial Services Commission of Ontario (FSCO) regulatory framework summarizes its expectations from businesses and individuals that are licensed or registered with FSCO, stakeholders, consumers, or pension plan members; and what can be expected from FSCO in the regulatory process. Describes: i) FSCO's legislative mandate; ii) how FSCO fulfills its mandate by achieving regulatory outcomes; iii) FSCO's core regulatory activities; and iv) principles that FSCO follows when conducting regulatory activities.

Publisher: Subnational Regulators Country: Canada

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Supervisory framework

Sectors: Pensions

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Resources

382 records

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

Pension Plan Governance Guidelines & Self-Assessment Questionnaire

Regulatory Framework

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