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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: Securities

UK Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)

PRA supervisory statement on its expectations for firms undertaking an ICAAP and factors it takes into consideration in its SREP

UK Prudential Regulatory Authority updated supervisory statement sets out expectations of firms in relation to: i) undertaking their ICAAP; ii) stress testing, scenario analysis and capital planning; and iii) reverse stress testing. Sets out the factors that the PRA takes into consideration to assess a firm’s ICAAP. Provides further detail in relation to high-level expectations outlined in PRA’s Approach to Banking Supervision.

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

Type: Guideline

Parent: Capital Requirements Directive - CRD IV

Peer: The Prudential Regulation Authority's Approach to Banking Supervision

Topics: Capital adequacy, Stress-testing

Sectors: Securities

Approach to Identifying Other Systemically Important Institutions (O-SIIs)

BOE policy statement sets out criteria to identify other systemically important institutions

Bank of England policy statement sets out criteria and scoring methodology that Prudential Regulation Authority uses to identify other systemically important institutions (O-SIIs). Is parallel to approach for identifying globally systemically important institutions (G-SIIs). Approach is consistent with European Banking Authority Guidelines which set out O-SII identification process consisting of two stages. First stage is minimum mandatory framework consisting of prescribed set of criteria, indicators and weights that authorities should use to identify the institutions that must be designated as O-SIIs. Second stage offers authorities discretion to overlay the mandatory part of the framework in order to better reflect the specificities of the national banking sector; and if appropriate, designate additional firms as O-SIIs.

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

Type: Law, Regulation and Policy

Parent: Capital Requirements Directive - CRD IV, Capital Requirements Regulation - CRR

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

Sectors: Securities

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: 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: Securities

Cyber Risk and Financial Stability: It's a Small World After All

IMF paper discusses potential cyber attacks that could threaten global financial stability

International Monetary Fund report discusses the ability of attackers to undermine, disrupt and disable information and communication technology systems used by financial institutions and threaten financial stability. The report suggests six major gaps that, if addressed, could considerably reduce cyber risk and help to safeguard global financial stability. 

Publisher: International Organizations     Release date: Dec 2020    

Type: Consultative, discussion and issues paper

Topics: Cyber risk, Risk management

Sectors: Securities

A Research and Learning Agenda for the Impact of Financial Inclusion

CGAP research paper discusses proposed learning agenda

Consultative Group to Assist the Poor research paper proposes a learning agenda to support financial inclusion by asking the following questions: i) financial inclusion for what; ii) what should we invest in; iii) what are the most promising welfare-enhancing solutions; iv ) which ones should we experiment with; and v) how do we achieve the nuance required to guide financial inclusion policy decisions that enable financial services to add value to poor people's lives?

Publisher: International Organizations     Release date: Dec 2020    

Type: Consultative, discussion and issues paper

Topics: Financial inclusion

Sectors: Securities

Proposals to Enhance Climate-Related Disclosures by Listed Issuers and Clarification of Existing Disclosure Obligations

FCA policy statement for better climate-related financial disclosures

Financial Conduct Authority policy statement, final rule and guidance to promote better climate-related financial disclosures for UK premium listed commercial companies.    

Publisher: National Regulators     Release date: Dec 2020    

Type: Consultative, discussion and issues paper

Topics: Climate change

Sectors: Securities

Supervising the New Normal: SupTech in Post-COVID-19 World

TC podcast discusses SupTech in the post-COVID-19 world

Toronto Centre discusses SupTech in the post-COVID-19 world. 

Publisher: Toronto Centre     Release date: Nov 2020    

Type: TC Videos

Topics: COVID-19

Sectors: Securities

Cloud Computing: Issues for Supervisors

TC Note discusses benefits of cloud computing

Toronto Centre Note contrasts the observed and potential benefits of cloud computing outsourcing with the supervisory concerns that its growth raises, particularly from the perspective of EMDE supervisors. It discusses the regulatory and supervisory responses and highlights next steps for supervisors. 

Publisher: Toronto Centre     Release date: Nov 2020    

Type: TC Notes

Topics: Cyber risk, Operational risk, FinTech

Sectors: Securities

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