Toronto Centre Community
  • Home
  • About
    • About the Toronto Centre
    • Our Mission
    • Our Impact
    • Poverty Reduction
    • Training Methodology
    • History
    • Team
    • Partners
    • Policies
  • Programs
    • Our Programs
    • Upcoming Programs
    • Program Objectives
    • Country, International and Regional Programs
    • Programs by Sector
    • Training Topics
    • Master of Finance
    • TC Community
    • Past Programs
  • News
  • Jobs
  • Contact
  • Resources
  • Resources  

  • Clear Search
  • Advanced search
  • 382 records

No records

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: Securities

Principles and Good Practices for Financial Education and Awareness

OECD principles for improved financial education and consumer awareness

Organisation for Economic Co-operation and Development principles to promote financial education and awareness. Sets out: i) public actions for financial education; ii) role of financial institutions in financial education; iii) financial education for retirement savings; and iv) financial education programs.

Publisher: International Organizations     Release date: Jul 2005    

Type: Consultative, discussion and issues paper

Peer: Good Practices for Financial Education Relating to Private Pensions , Policy Guidance on Addressing Women's and Girls' Needs for Financial Awareness and Education , Good Practices for Enhanced Risk Awareness and Education on Insurance Issues , National Strategies for Financial Education, High-Level Principles for the Evaluation of Financial Education Programs , Guidelines for Private and Not-for-Profit Stakeholders in Financial Education

Topics: Consumer education and protection, Financial inclusion

Sectors: Securities

Principles of Corporate Governance

OECD Principles that are among the 12 standards designated by the FSB as key for sound financial systems

Financial Stability Board endorsed principles issued by the Organisation for Economic Co-operation and Development to help jurisdictions evaluate and improve their legal, institutional and regulatory framework for corporate governance, and to provide guidance and suggestions for stock exchanges, investors, corporations and other parties that have a role in the process of developing good corporate governance.

Publisher: International Organizations     Release date: Dec 2003    

Type: Standard

Peer: Report on Corporate Governance

Topics: Corporate governance

Sectors: Securities

Guidance on Information Sharing

IOSCO guidance on information sharing during periods of crisis

International Organization of Securities Commissions guidance to authorities on sharing information during periods of market and/or firm crisis by: i) identifying in advance types of core information which market authorities would need to be able to obtain and be prepared to share in order to assist in assessing and managing impact of market and/or firm crisis; ii) explaining relevancy of information; and iii) providing illustrations of types of questions which market authorities may use to request information from another authority. Identifies three generic types of market and/or firm events: i) Type I (firm financial crisis); ii) Type II (market-wide volatility); and iii) Type III (unusual price movements or market volatility in a particular security or derivative).

Publisher: Global Standard-Setting Bodies     Release date: Oct 1997    

Type: Guideline

Topics: Crisis management and contingency planning, Cross-border cooperation

Sectors: Securities

Capital Adequacy Standards for Securities Firms

IOSCO longstanding common conceptual framework

International Organization of Securities Commissions framework for capital requirements for securities firms that take positions as principal, hold client accounts, and/or hold client property. Framework consists of: i) capital adequacy test that reflects liquidity, solvency and risks faced by securities firms; ii) regulatory structure for maintenance of a securities firm's books and records; and iii) framework of regular reporting to, and examination by, a supervisory authority.

Publisher: Global Standard-Setting Bodies     Release date: Oct 1989    

Type: Standard

Topics: Capital adequacy, Risk management, Liquidity risk and rules, Market risk

Sectors: Securities

Women in Fund Management

Study advocating bringing more women into key managerial positions in financial services

National Council for Research on Women study advocates gender diversity in financial services decision-making to achieve better overall performance. Research indicates that women bring unique qualities and capacities to investment and professional money management. Provides specific actions that managers, companies and the financial services industry can take to bring change to financial sector and balance gender equation.

Publisher: Others     Country: United States

Type: Consultative, discussion and issues paper

Topics: Gender equality

Sectors: Securities

Page 55 of 55 Total: 546
  • Start
  • Prev
  • 46
  • 47
  • 48
  • 49
  • 50
  • 51
  • 52
  • 53
  • 54
  • 55
  • Next
  • End
  • You are here:  
  • Home
  • Securities

Browse by Category

TC Notes

  • TC Notes

Sector

  • Banking
  • Insurance
  • Microfinance
  • Microinsurance
  • Pensions
  • Securities

Topic

  • Accounting, actuarial and auditing
  • Asset classification and provisioning
  • Capital adequacy
  • Climate change
  • Compliance function
  • Conduct
  • Consolidated supervision
  • Consumer education and protection
  • Corporate governance
  • COVID-19
  • Credit risk
  • Crisis management and contingency planning
  • Cross-border cooperation
  • Cyber risk
  • Deposit insurance
  • Derivatives
  • Early intervention and enforcement
  • Financial conglomerates
  • Financial inclusion
  • Financial market infrastructure
  • FinTech
  • Foreign exchange rate risk
  • Gender equality
  • Implementing change
  • Interest rate risk
  • Islamic finance
  • Licensing
  • Liquidity risk and rules
  • Macroprudential
  • Market risk
  • Money laundering and terrorist financing
  • Operational risk
  • Pension and retirement plans
  • Policyholder protection plans
  • Recovery and resolution
  • Risk-based supervision
  • Risk management
  • Securitization
  • Shadow banking
  • Stress-testing
  • Supervisory framework
  • Supervisory structures
  • Systemic risk
  • Systemically important financial institutions (SIFIs)
  • Transparency and disclosure

Country

  • Australia
  • Bangladesh
  • Bermuda
  • Colombia
  • Canada
  • China
  • Denmark
  • Germany
  • Hong Kong, China
  • India
  • Ireland
  • Kenya
  • Malaysia
  • Mongolia
  • Netherlands
  • Nigeria
  • Singapore
  • Sweden
  • Tanzania
  • United Kingdom
  • United States

Resource Type

  • Standard
  • Guideline
  • Sound Practice
  • Consultative, discussion and issues paper
  • Implementation
  • Law, Regulation and Policy
  • Supervisory Practice
  • Others
  • TC Notes
  • TC Videos

Year Released

  • 2018
  • 2017
  • 2016
  • 2015
  • 2014
  • 2013
  • 2012
  • 2011
  • 2010
  • 2009
  • 2008
  • 2007
  • 2006
  • 2005
  • 2004
  • 2002
  • 2001
  • 1999
  • 1998
  • 1997
  • 1994
  • 1989

Publisher Type

  • Global Standard-Setting Bodies
  • Regional Standard-Setting Bodies
  • International Organizations
  • National Government
  • National Regulators
  • Subnational Regulators
  • Industry Groups
  • Others
  • Toronto Centre
Clear Search

 

 

 

Contact Us

Back to Top

© 2022 Toronto Centre Community