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Registration and Operation of Peer to Peer Lending Platforms

RBI directive for Non-Bank Financial Companies operating P2P lending platforms

Reserve Bank of India framework for the registration and operation of Non-Bank Financial Companies Peer to Peer Lending Platforms (NBFC-P2Ps), intermediates providing the services of loan facilitation via online medium or otherwise. 

Publisher: National Regulators     Release date: Feb 2018     Country: India

Type: Implementation

Topics: Consumer education and protection

Sectors: Banking

Good Practices on Consumer Protection Related to Private Pension Systems

IOPS sound practice guidelines identify supervisory measures to enhance consumer protection

International Organisation of Pension Supervisors sound practice guidelines examine consumer protection in private pensions systems and the role of supervisory authorities. Identifies key areas and supervisory measures directed at enhancing consumer protection.

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

Type: Sound Practice

Parent: G20 High-Level Principles on Financial Consumer Protection, IOPS Principles of Private Pension Supervision

Peer: Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2, Effective Approaches to Support Implementation of G20/IOSCO Principles on Financial Education and Awareness

Topics: Consumer education and protection

Sectors: Pensions

Recommendations for Liquidity Risk Management for Collective Investment Schemes

IOSCO final guidelines to improve liquidity risk management of open-ended collective investment schemes

International Organization of Securities Commissions guidelines set out recommendations to ensure that liquidity is managed to safeguard and protect the interests of investors, including in stressed market conditions. Includes guidance to securities regulators to promote good liquidity management practices for open-ended collective investment schemes. 

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

Type: Guideline

Peer: Principles for the Valuation of Collective Investment Schemes

Topics: Consumer education and protection

Sectors: Securities

Innovative Solutions by Financial Institutions in the Customer Due Diligence Process

EBA, EIOPA and ESMA opinion aims to develop common regulatory understanding of appropriate use of innovative solutions

European Banking Authority, the European Insurance and Occupational Pensions Authority, and the European Securities and Markets Authority opinion on use by banks and other financial institutions of new and innovative technologies when complying with customer due diligence (CDD) obligations. Highlights factors that supervisory authorities should consider when assessing the adequacy of firms' CDD measures where innovative solutions are used and assessing controls in place at firms that enable them to mitigate any risks associated with the use of new technologies. 

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

Type: Guideline

Topics: Consumer education and protection

Sectors: Banking, Insurance, Pensions, Securities

Inclusive Insurance: Closing the Protection Gap for Emerging Customers

IIF report examines issues and challenges around inclusive insurance

Institute of International Finance report examines how insurers are expanding into new markets and reaching underserved customers through new technologies, business models, product designs, a deeper understanding of customers, and partnerships. Discusses: i) market for inclusive insurance; ii) most important challenges in reaching this market; iii) innovative product lines and models in health and climate/weather-related insurance that show promise; and iv) the regulatory environment and how to ease the way for inclusive insurance.

Publisher: Industry Groups     Release date: Jan 2018    

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Insurance, Microinsurance

Women, Business and the Law 2018

WB discussion paper presents laws, regulations and policies that constrain women's economic choices

World Bank discussion paper demonstrates how government policies limit women's full economic participation through laws that restrict their ability to engage in entrepreneurial and employment activities. Key findings: i) in the past two years, there were 87 changes toward legal gender equality across 65 economies; ii) in 104 economies, women face gender-based job restrictions; 45 of economies covered have no laws specifically protecting women from domestic violence; iv) in 18 economies, husbands can legally prevent their wives from working; v) lower legal gender equality is associated with fewer girls attending secondary school relative to boys, fewer women working or running businesses and a wider gender wage gap; and vi) over the past two years, 65 economies carried out 87 reforms increasing women's economic opportunities. 

Publisher: International Organizations     Release date: Jan 2018    

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Banking, Pensions, Microfinance

Code on Collective Investment Schemes

MAS amended CIS Code

Monetary Authority of Singapore amended code sets out best practices on management, operation and marketing of collective investment schemes that managers and approved trustees are expected to observe. Intended to enhance transparency and market discipline, improve operational effectiveness, and provide greater clarity to market practitioners. 

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

Type: Supervisory Practice

Topics: Consumer education and protection

Sectors: Securities

Insurance Distribution Directive Implementation

FCA policy statement sets out near-final rules to implement the EU IDD

Financial Conduct Authority near-final rules to implement the European Union's Insurance Distribution Directive (IDD). Summarizes: i) changes to the FCA's requirements related to the distribution of insurance-based investment products and wider life insurance business; ii) changes to FCA rules to implement requirements in the IDD that applyto life and non-investment insurance business; iii) additional changes to the Handbook; and iv) feedback to quarterly consultations. 

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

Type: Implementation

Parent: Insurance Distribution Directive

Topics: Consumer education and protection

Sectors: Insurance

Guidelines on Insurance-Based Investment Products

EIOPA guidelines on the sale of insurance products that have investment exposures deemed non-complex and complex

European Insurance and Occupational Pensions Authority guidelines on the sale of insurance-based investment products (IBIPs), including those where associated risks are difficult for the customer to understand. Those with complex features require that insurers and insurance distributors undertake greater due diligence to ensure the product is suitable and appropriate for the client. 

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

Type: Guideline

Parent: Insurance Distribution Directive

Topics: Consumer education and protection

Sectors: Insurance

Financial Literacy

TC Note discusses how financial literacy relates to financial sector policy objectives

Toronto Centre note to guide supervisors toward making appropriate choices when considering possible regulations, supervisory actions, or other steps that might be taken in the context of their particular circumstances. Note discusses: i) various dimensions of financial literacy; ii) barriers that consumers might face in achieving financial literacy; iii) how financial literacy can affect the achievement of supervisory objectives; iv) steps supervisors might need to take to achieve their objectives if the level of financial literacy is low; and v) roles supervisors can play in strengthening financial literacy.

Publisher: Toronto Centre     Release date: Jan 2018    

Type: TC Notes

Topics: Consumer education and protection

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

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