Consolidated supervision

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Methods of Prudential Consolidation

EBA consolidation sets out different methods of prudential consolidation

European Banking Authority consultation on draft Regulatory Technical Standards specifying the different methods of prudential consolidation which can be applied when certain conditions and criteria are met. Aims to ensure that appropriate method of prudential consolidation is applied for the calculation of the European Union's Capital Requirements Regulation (CRR) requirements on a consolidated basis. Addresses different methods of consolidation: full consolidation, proportional consolidation, aggregation method, and the equity method.

Publisher: Regional Standard-Setting Bodies Release date: Nov 2017

Type: Consultative, discussion and issues paper

Parent: Capital Requirements Regulation - CRR

Topics: Consolidated supervision, Accounting, actuarial and auditing

Sectors: Banking, Securities

Deadline for comments: Feb 2018

Opinion on Prudential Framework for Investment Firms

EBA opinion on design and calibration of a new prudential framework for investment firms in the EU

European Banking Authority opinion on the design and calibration of a new prudential framework for investment firms in the European Union, which is specifically tailored to the needs of investment firms' different business models and inherent risks. Includes recommendations to develop a single and harmonized set of requirements that are reasonably simple, proportionate and relevant to the nature of investment firms.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2017

Type: Guideline

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

Topics: Corporate governance, Consolidated supervision, Capital adequacy, Liquidity risk and rules, Financial conglomerates

Sectors: Banking, Securities

Group-Wide Consolidated Supervision in Bank and Financial Groups

TC note describes how to conduct consolidated supervision of groups

Toronto Centre note explains risks from association of a bank to broader group and how group-wide supervision can keep group risks aligned to resource and internal governance capabilities of a bank and its parent entities. Endorses Joint Forum's approaches to achieve this core objective, emphasizing the importance of both solo and consolidated supervision to keep group risks at bay. Suggestions are applicable to other non-bank financial groups and advocate flexibility in crafting legal powers and definitions, active use of licensing to preclude unsound group structures, and an effective mix of quantitative and qualitative group-wide consolidated supervision tools.

Publisher: Toronto Centre Release date: Feb 2016

Type: TC Notes

Peer: Developments in Credit Risk Management Across Sectors: Current Practices and Recommendations

Topics: Consolidated supervision, Financial conglomerates

Sectors: Banking, Insurance, Securities

Risks in Financial Group Structures

OECD paper examines potential costs and benefits of various financial group structures and policy measures used for addressing risks

Organisation for Economic Co-operation and Development paper examines types of risk associated with complex financial groups and reviews evidence in favour of, and against, various alternatives used to address those risks. Paper concludes that there is no perfect solution among various policy options that is sufficient on its own to satisfy core policy objectives. Greater financial and economic impacts associated with problems at large institutions requires a holistic approach that combines transparency, governance, regulation and supervision.

Publisher: International Organizations Release date: Feb 2011

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Conduct, Systemic risk, Transparency and disclosure, Financial conglomerates, Consolidated supervision

Sectors: Banking, Insurance, Securities

HKMA Supervisory Policy - Group-wide Approach to Supervision of Locally Incorporated Authorized Institutions

HKMA group-wide supervisory approach for banks

Hong Kong Monetary Authority guideline setting out its group-wide approach for the consolidated supervision of banks when they are part of a financial group, either as head of the group, or as one of the member companies of group headed by a holding company or another bank.

Publisher: National Regulators Release date: Nov 2008 Country: Hong Kong, China

Type: Guideline

Topics: Supervisory framework, Consolidated supervision, Financial conglomerates

Sectors: Banking

Display # Total: 5

Resources

382 records

Methods of Prudential Consolidation

Opinion on Prudential Framework for Investment Firms

Group-Wide Consolidated Supervision in Bank and Financial Groups

Risks in Financial Group Structures

HKMA Supervisory Policy - Group-wide Approach to Supervision of Locally Incorporated Authorized Institutions

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