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

Joint Technical Advice on PRIIPs with Environmental or Social Objectives

EBA, EIOPA and ESMA technical advice on minimum requirements for Packaged Retail and Insurance-based Investment Products (PRIIPs) with environmental or social objectives

European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority advice addresses four areas: i) the PRIIP manufacturer targeting environmental or social objectives has to clearly specify these objectives, together with an appropriate and proportionate strategy on how to achieve them; ii) the PRIIP manufacturer should disclose to the retail investors the objectives and how these will be achieved; iii) the PRIIP manufacturer has to install and well document governance and monitoring measures, where the latter need to be proportionate to the objectives and strategy of how to achieve the objective; and iv) the PRIIP manufacturer should conduct regular reviews on the progress made in achieving the specified and disclosed objectives. 

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

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Banking, Insurance, Pensions, Securities

Report on Adult Financial Literacy in G20 Countries

G20/OECD/INFE report on levels of financial literacy among adults identifies areas for improvement

Organisation for Economic Co-operation and Development International Network on Financial Education report describes levels of financial literacy of adults in G20 countries, the Netherlands and Norway. Results show considerable scope for improvement in levels of financial knowledge, behaviour and attitudes across G20 countries. The need for action is made urgent by the increasing digitalization of finance. 

Publisher: International Organizations     Release date: Jul 2017    

Type: Consultative, discussion and issues paper

Peer: Core Competencies Framework on Financial Literacy for Adults , International Survey of Adult Financial Literacy Competencies

Topics: Consumer education and protection

Sectors: Banking, Insurance, Pensions, Securities

Liability of Customers in Unauthorised Electronic Banking Transactions

RBI guidelines for determining customer liability for unauthorized electronic banking transactions

Reserve Bank of India guideline for determining liability of customers for unauthorized electronic banking transactions. Sets out systems and procedures banks must have in place, requires banks to ask customers to mandatorily register for SMS alerts and, wherever available, for e-mail alerts for electronic banking transactions, and sets out criteria for determining customer liability. 

Publisher: National Regulators     Release date: Jul 2017     Country: India

Type: Guideline

Topics: Consumer education and protection

Sectors: Banking

Cyber Insurance Underwriting Risk

PRA supervisory statement sets out expectations of firms regarding of cyber insurance underwriting risk

UK Prudential Regulation Authority supervisory statement sets out proposed expectations of insurance firms regarding cyber insurance underwriting risk. Expectations are set out in three broad areas: i) non-affirmative cyber risk; ii) cyber risk strategy and risk appetite; and iii) cyber expertise. 

Publisher: National Regulators     Release date: Jul 2017     Country: United Kingdom

Type: Supervisory Practice

Topics: Consumer education and protection

Sectors: Insurance

Thematic Review of the Adoption of Recommendations Regarding Protection of Client Assets

IOSCO survey of implementation progress of IOSCO members in adopting legislation, regulation and other policies in relation to intermediaries holding client assets addressed by the Principles for the protection of client assets

International Organization of Securities Commissions thematic review identifies implementation progress of 38 IOSCO members from 36 jurisdictions in adopting legislation, regulation and other policies in relation to intermediaries holding client assets addressing the eight principles set out in IOSCO's Recommendations Regarding the Protection of Client Assets. 

Release date: Jul 2017    

Type: Implementation

Topics: Consumer education and protection

Sectors: Banking, Securities

Innovative Uses of Consumer Data by Financial Institutions

EBA report identifies risks and benefits of using consumer data

European Banking Authority report identifies risks and potential benefits of using consumer data generated internally and that obtained from external data vendors or social media, as well as the adequacy of existing legal and regulation in the European Commission. Particular focus on data on payments which provide users with insight into consumers' purchasing habits and preferences. 

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

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection

Sectors: Banking

Asset Management Market Study

FCA report on the UK asset management industry and proposed remedies to address identified weaknesses

UK Financial Conduct Authority report analyzing the asset management industry and setting out a range of proposed remedies to achieve three main objectives: i) to provide protection for investors who are not well placed to find better value for money; ii) to drive competitive pressure on asset managers; and iii) to help improve the effectiveness of intermediaries. 

Publisher: National Regulators     Release date: Jun 2017     Country: United Kingdom

Type: Consultative, discussion and issues paper

Peer: Consultation on Implementing Asset Management Market Study Remedies

Topics: Consumer education and protection

Sectors: Securities

Consultation on Implementing Asset Management Market Study Remedies

FCA consultation on range of proposed remedies to weaknesses identified in the study and changes to the FCA Handbook

Financial Conduct Authority consultation on changes to the regulatory framework for authorized fund managers. Proposes measures to strengthen rules on authorized fund managers so they act in the best interests of investors. 

Publisher: National Regulators     Release date: Jun 2017     Country: United Kingdom

Type: Consultative, discussion and issues paper

Peer: Asset Management Market Study

Topics: Consumer education and protection

Sectors: Securities

Order Routing Incentives

IOSCO report on practices used by market regulators regarding incentives for order routing that may influence treatment of clients by intermediaries

International Organization of Securities Commissions report on conduct requirements for brokers and firms to manage conflicts of interest associated with routing orders and obtaining best execution. Reviews approaches and practices used by regulators regarding incentives for order routing and execution. Assesses how requirements interact with market practices in different jurisdictions to shape order routing incentives and how these incentives influence behaviour of intermediaries towards their clients. 

Publisher: Global Standard-Setting Bodies     Release date: Jun 2017    

Type: Sound Practice

Topics: Consumer education and protection

Sectors: Securities

Guidelines on MiFID II Product Governance Requirements

ESMA guidelines on target market assessment by manufacturers and distributors of financial products

European Securities and Markets Authority product governance guidelines under the Markets in Financial Instruments Directive II (MiFID II) regarding target market assessment by manufacturers and distributors of financial products. Based on its consultation with stakeholders, ESMA modified guidelines in areas such as portfolio diversification and provided further practical examples in the annex to help with application of the guidelines. 

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

Type: Guideline

Parent: Markets in Financial Instruments Directive - MiFID II

Topics: Consumer education and protection

Sectors: Securities

Page 7 of 20 Total: 199
  • Start
  • Prev
  • 2
  • 3
  • 4
  • 5
  • 6
  • 7
  • 8
  • 9
  • 10
  • 11
  • Next
  • End
  • You are here:  
  • Home
  • Consumer education and protection

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