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Report on Other Information to be Provided to Prospective and Current Members

EIOPA report sets out principles for transparent, timely and clear information provision on pensions

European Insurance and Occupational Pensions Authority report analyzes national practices existing prior to the implementation of the IORP II Directive on the activities and supervision of institutions for occupational retirement provisions (IORPs). 

Publisher: Regional Standard-Setting Bodies     Release date: Mar 2019    

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Pensions

Proportionality in Bank Regulation and Supervision

Results of BCBS survey of current practices

Basel Committee on Banking Supervision survey sets out how other countries are implementing the Basel Committee standards.

Publisher: Global Standard-Setting Bodies     Release date: Mar 2019    

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Banking

Framework for Assessing Conduct Risk Through the Product Lifecycle

EIOPA framework for supervising retail conduct risk

European Insurance and Occupational Pensions Authority framework clarifies drivers of conduct risk and their implications in the emergence of consumer detriment. Provides an aid for understanding issues faced by consumer and input on the types of conduct risks EIOPA and the national competent authorities should focus on. 

Publisher: Regional Standard-Setting Bodies     Release date: Feb 2019    

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Insurance, Pensions

FCA Mission: Approach to Authorization

FCA report sets out its approach to authorizations

UK Financial Conduct Authority report sets out its approach to authorizations. Sets out the conditions that firms and individuals must meet to be authorized, how the FCA evaluates whether firms and individuals meet the conditions, how authorizations promote competition, and how the effectiveness of authorization decisions are evaluated. 

Publisher: National Regulators     Release date: Nov 2018     Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Banking, Insurance, Pensions, Securities

Application Paper on the Use of Digital Technology in Inclusive Insurance

IAIS guidance on regulations and supervisory practices regarding digital technology in inclusive insurance

International Association of Insurance Supervisors application paper discusses use of digital technology, FinTech and InsurTech in inclusive insurance. Paper: i) describes typical inclusive insurance market and typical inclusive insurance customer; ii) describes use and implications of digital technology with inclusive insurance markets; and iii) provides application guidance on the relevant internationally-agreed Insurance Core Principles regarding the use of digital technology in inclusive insurance. 

Publisher: Global Standard-Setting Bodies     Release date: Nov 2018    

Type: Guideline

Peer: Issues Paper on Conduct of Business in Inclusive Insurance

Topics: Consumer education and protection

Sectors: Insurance, Microinsurance

Guidelines on Provision of Digital Advisory Services

MAS guidelines on characteristics and risks of digital advisory services

Monetary Authority of Singapore guideline sets out its assessment of the unique characteristics of and risks posed by digital advisory services (also known as robo-advisors), along with regulatory expectations. 

Publisher: National Regulators     Release date: Oct 2018     Country: Singapore

Type: Guideline

Topics: Consumer education and protection

Sectors: Banking, Securities

FCA Approach to Competition

FCA report sets out its approach to promoting competition in the interests of consumers

UK Financial Conduct Authority report sets out its approach to promoting competition, one of core objectives. Describes the FCA's role in promoting competition and its decision-making framework for identifying potential harm, diagnosing and remedying features of a market that do not work well for consumers, and evaluating the success of those remedies to inform our future decisions. 

Publisher: National Regulators     Release date: Oct 2018     Country: United Kingdom

Type: Consultative, discussion and issues paper

Peer: FCA Mission: Approach to Authorization, FCA Mission: Approach to Consumers

Topics: Consumer education and protection

Sectors: Banking, Insurance, Pensions, Securities

E-Payments User Protection Guidelines

MAS guidelines to protect consumers of e-payment services

Monetary Authority of Singapore guidelines standardize protection offered to individuals or micro-enterprises from losses arising from unauthorized or mistaken payment transactions from their protected accounts. Covers: i) liability caps to clarify the amounts that the account user and the financial institution are liable for in any unauthorized payment transaction; ii) notification duties of account users and financial institutions for all payment transactions; and iii) resolution processes for both unauthorized payment transactions and mistaken payment transactions. 

Publisher: National Regulators     Release date: Sep 2018     Country: Singapore

Type: Guideline

Topics: Consumer education and protection

Sectors: Banking

HKMA Mystery Shopping Program

HKMA mystery shopping program on banks' selling practices in respect of investment products and insurance products

Hong Kong Monetary Authority mystery shopping program to ascertain the practices of banks in customer risk profiling, financial needs analysis (as applicable to life insurance products), suitability of recommendations, and product and risk disclosure. A good example of an effective supervisory technique for promoting consumer protection and improved corporate governance.

Publisher: National Regulators     Release date: Aug 2018     Country: Hong Kong, China

Type: Supervisory Practice

Topics: Consumer education and protection

Sectors: Banking

Understanding Cyber Insurance - A Structured Dialogue with Insurance Companies

EIOPA report concludes that a deeper understanding of cyber risk is the core challenge for the European cyber insurance industry

European Insurance and Occupational Pensions Authority report provides insights on the functioning, growth potential, challenges and risks of cyber insurance in Europe in the context of the expected growing importance of cyber insurance in the portfolios of (re)insurers. Addresses important key findings, especially the clear need for improved understanding of cyber risk. This report is the first attempt by EIOPA to enhance the level of understanding of cyber risk underwriting with a focus on the European insurance market. 

Publisher: Regional Standard-Setting Bodies     Release date: Aug 2018    

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Insurance

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