Corporate governance

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Prudential Standard on Large Exposures

APRA standard on large exposures for banks

Australian Prudential Regulation Authority prudential standard requires banks to implement prudent measures and to set prudent limits to monitor and control their large exposures and risk concentrations. Key requirements are that banks must: i) have a board approved policy that governs large exposures and risk concentrations; ii) have adequate systems and controls to identify, measure, monitor and report large exposures and risk concentrations; iii) identify large exposures, including identifying a group of connected counterparties; iv) ensure large exposures meet the large exposure limit; and v) measure exposure values for large exposure purposes using specified treatments.

Publisher: National Regulators Release date: Jan 2019 Country: Australia

Type: Standard

Topics: Credit risk, Risk management, Corporate governance

Sectors: Banking

Principles to Promote Fairness, Ethics, Accountability and Transparency in the Use of Artificial Intelligence and Data Analytics

MAS guidance on the responsible use of artificial intelligence and data analytics

Monetary Authority of Singapore principles provide guidance to firms offering financial products and services on the responsible use of artificial intelligence and data analytics to strengthen internal governance around data management and use.

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

Type: Consultative, discussion and issues paper

Topics: Cyber risk, FinTech, Corporate governance

Sectors: Banking, Insurance, Pensions, Securities

Principles for Responsible Banking

UNEP proposed principles for aligning banks' strategies with the UN Sustainable Development Goals and the Paris Climate Agreement

United Nations Environment Finance Initiative principles to assist banks to align their business strategy with society's goals. Key features: i) comprehensive framework addressing the strategic portfolio and transaction level across all of the bank's business areas; ii) alignment with Sustainable Development Goals (SGDs) and the Paris Climate Agreement; iii) target-setting in areas of most significant positive and negative impact; iv) transparency and accountability through public reporting and review; and v) guidance, expert advice and peer learning to support implementation.

Publisher: International Organizations Release date: Nov 2018

Type: Consultative, discussion and issues paper

Topics: Climate change , Transparency and disclosure, Corporate governance

Sectors: Banking

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: Financial inclusion, Consumer education and protection, Corporate governance, Transparency and disclosure, Operational risk

Sectors: Banking, Securities

The Prudential Regulation Authority's Approach to Banking Supervision

PRA description of how it carries out its prudential regulatory role for deposit-takers and investment firms

UK Prudential Regulation Authority policy document meets PRA's statutory requirement to issue guidance on how it intends to advance its objectives. Communicates PRA's expectation to regulated firms and what they can expect from PRA in the course of supervision. Document: i) describes PRA's general statutory objective and its approach to advancing it; ii) outlines how it determines focus of its supervision in identifying key risks to its objective; iii) examines measures that it expects firms to have in place to ensure their businesses are run in a safe and sound manner; iv) sets out more detail on PRA's supervisory approach; and v) outlines PRA's approach to setting and communicating expectations of firms.

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

Type: Law, Regulation and Policy

Topics: Supervisory framework, Risk-based supervision, Corporate governance, Capital adequacy, Liquidity risk and rules, Transparency and disclosure

Sectors: Banking, Securities

The Prudential Regulation Authority's Approach to Insurance Supervision

PRA description of how it carries out its prudential regulatory role for insurers

UK Prudential Regulation Authority policy document meets PRA's statutory requirement to issue guidance on how it intends to advance its objectives. Communicates PRA's expectation to regulated insurers and what they can expect from PRA in the course of supervision. Document: i) describes PRA's statutory objectives and its approach to advancing them; ii) outlines how it determines focus of its supervision in identifying key risks to its primary objectives; iii) examines measures that it expects insurers to have in place to ensure their businesses are run in a safe and sound manner; iv) details PRA's supervisory approach; and v) outlines PRA's approach to setting and communicating expectations of insurers.

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

Type: Law, Regulation and Policy

Peer: Financial Management and Planning by Insurers

Topics: Supervisory framework, Risk-based supervision, Corporate governance, Capital adequacy, Transparency and disclosure

Sectors: Insurance

A Community Bank Director's Guide to Corporate Governance

How the FDIC Pocket Guide for Directors applies to small banks

Federal Deposit Insurance Corporation special corporate governance edition of its Supervisory Insights series addresses how its Pocket Guide for Directors and other guidance relates to corporate governance and strategic planning at smaller, simpler banks. Discusses key governance concepts, roles, and responsibilities of directors and senior management at such banks, and discusses how FDIC examiners evaluate governance at those banks. A list of resources, with links to regulations, guidance, and training materials, is included.

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

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Supervisory framework

Sectors: Banking

Transition in Thinking: The Impact of Climate Change on the UK Banking Sector

PRA report examines impact of financial risks from climate change on banks

UK Prudential Regulation Authority report examines: i) financial risks from climate change that impact banks; ii) assesses how banks are responding to and managing those risks; and iii) helps banks to understand the PRA's supervisory approach.

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

Type: Consultative, discussion and issues paper

Peer: The Impact of Climate Change on the UK Insurance Sector , Climate Change

Topics: Climate change , Transparency and disclosure, Corporate governance

Sectors: Banking

Corporate Governance Guideline

OSFI revised guidelines set out expectations for boards of directors of federally regulated financial institutions

Office of the Superintendent of Financial Institutions of Canada revised Corporate Governance Guidelines. Address role of the Board of Directors and its Audit Committee, and risk governance. Revised guidelines provide boards with greater discretion on how they meet the guidelines' principles, taking into account the institution's size, nature of operations and risk profile and make a clearer delineation between board and senior management responsibilities.

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

Type: Guideline

Topics: Corporate governance, Risk management

Sectors: Banking, Insurance

Revised Procedures and Methodologies for the Supervisory Review and Evaluation Process and Supervisory Stress Testing

EBA update to its SREP guidelines

European Banking Authority update to its guidelines on common procedures and methodology for Supervisory Review and Evaluation Process (SREP), including by incorporating supervisory stress testing.

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

Type: Guideline

Parent: Guidelines on Common Procedures and Methodologies for the Supervisory Review and Evaluation Process (SREP)

Peer: Guidelines on ICT Risk Assessment Under SREP, Guidelines on Assessment of ICAAP and ILAAP under SREP, Guidelines on Institutions' Stress Testing

Topics: Stress-testing, Capital adequacy, Liquidity risk and rules, Corporate governance, Risk management

Sectors: Banking

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Resources

382 records

Prudential Standard on Large Exposures

Principles to Promote Fairness, Ethics, Accountability and Transparency in the Use of Artificial Intelligence and Data Analytics

Principles for Responsible Banking

Guidelines on Provision of Digital Advisory Services

The Prudential Regulation Authority's Approach to Banking Supervision

The Prudential Regulation Authority's Approach to Insurance Supervision

A Community Bank Director's Guide to Corporate Governance

Transition in Thinking: The Impact of Climate Change on the UK Banking Sector

Corporate Governance Guideline

Revised Procedures and Methodologies for the Supervisory Review and Evaluation Process and Supervisory Stress Testing

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