Cross-border cooperation

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Risk-Based Supervision of Cross-Border Groups

Toronto Centre Note examines the issues involved in the supervision of cross border financial firms including conglomerates and sets out some principles that supervisors should follow when faced with such structures.

Publisher: Toronto Centre Release date: Dec 2021

Type: TC Notes

Topics: Risk-based supervision, Cross-border cooperation

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

Key Attributes Assessment Methodology for the Insurance Sector

FSB methodology for assessing the implementation of the Key Attributes for Effective Resolution Regimes in the insurance sector

Financial Stability Board consultation sets out essential criteria to guide the assessment of the compliance of a jurisdiction's insurance framework with the FSB's Key Attributes of Effective Resolution Regimes for Financial Institutions in the insurance sector.

Publisher: Global Standard-Setting Bodies Release date: Aug 2020

Type: Standard

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Topics: Recovery and resolution, Crisis management and contingency planning, Cross-border cooperation, Systemically important financial institutions (SIFIs)

Sectors: Insurance

Cross-border Resolution Cooperation and Information Sharing

FSI overview of home and host authority experience

Financial Stability Institute paper examines cross-border cooperation and information-sharing arrangements for G-SIBs and other systemic banks with a particular focus on arrangements other than CMGs. The study finds that there has been some progress in establishing a range of arrangements, but there are also instances where the information needs of host authorities on resolution planning continue to be unmet.

Publisher: International Organizations Release date: Jan 2020

Type: Consultative, discussion and issues paper

Topics: Cross-border cooperation, Recovery and resolution, Crisis management and contingency planning

Sectors: Banking

Insurance Core Principles and Common Framework for the Supervision of Internationally Active Insurance Group

IAIS internationally agreed standard for regulation and supervision of the insurance sector

International Association of Insurance Supervisors revisions to Insurance Core Principles.

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

Type: Standard

Topics: Supervisory framework, Corporate governance, Licensing, Risk management, Compliance function, Cross-border cooperation

Sectors: Insurance

Global Financial Innovation Network (GFIN)

FCA consultation sets out plan for a new "global sandbox" to enable innovative firms to interact with regulators around the world

UK Financial Conduct Authority consultation to create a global sandbox or Global Financial Innovation Network (GFIN) to provide a more efficient way for innovative firms to interact with regulators. Three main functions of the proposed GFIN would be: i) to act as a network of regulators to collaborate and share experiences of innovation in respective markets, including emerging technologies and business models; ii) to provide a forum for joint policy work and discussions; and iii) to provide firms with an environment in which to trial cross-border solutions .

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

Type: Consultative, discussion and issues paper

Topics: Cross-border cooperation, FinTech, Financial inclusion

Sectors: Banking, Insurance, Securities

The Post-Crisis Challenges Facing Supervisors

TC note discusses how emerging markets can approach the implementation of post-crisis and other regulatory reforms

Toronto Centre Note discusses how emerging markets can approach implementation of recent regulatory reforms. Considers the challenges for supervisors stemming from more wide-ranging, robust and complex regulatory requirements, provides an overview of emerging risks and supervisory responses, and discusses the importance of supervisory cooperation. Identifies key challenges as: i) proportionate implementation of reforms; ii) tailoring regulation and supervision to emerging market economies; iii) maintaining a focus on fundamental issues such as credit and insurance underwriting risks; and iv) assessing emerging risks such as those arising from FinTech and cyber security.

Publisher: Toronto Centre Release date: Jul 2018

Type: TC Notes

Topics: Systemically important financial institutions (SIFIs), Cross-border cooperation, Risk-based supervision, Supervisory framework, FinTech

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

Report on the Functioning of Supervisory Colleges in 2017

EBA report on accomplishments of 2017 Colleges Action Plan and key activities for 2018

European Banking Authority annual review assesses the work of key European Economic Area supervisory colleges in 2017, evaluates performance, and identifies key activities for 2018.

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

Type: Implementation

Parent: Bank Recovery and Resolution Directive (BRRD), Capital Requirements Directive - CRD IV

Peer: EBA Report on Convergence of Supervisory Practices

Topics: Cross-border cooperation, Financial conglomerates

Sectors: Banking

Cross-Border Retail Payments

CPMI report sets out improvements in infrastructure for cross-border retail payments

Committee on Payments and Market Infrastructure report analyzes cross-border retail payments by individuals and businesses and identifies issues and challenges. Draws on a survey of established and innovative providers of cross-border retail payment services around the world. Sets out scope for improvements in existing infrastructures.

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

Type: Consultative, discussion and issues paper

Peer: Fast Payments - Enhancing the Speed and Availability of Retail Payments , Non-Banks in Retail Payments , Innovations in Retail Payments

Topics: Cross-border cooperation, Financial inclusion, Financial market infrastructure, FinTech

Sectors: Banking, Securities

Progress Report on the Implementation of Principles for Effective Supervisory Colleges

BCBS report highlights findings of implementation monitoring and provides examples of ways to meet commonly encountered challenges

Basel Committee on Banking Supervision progress report based on case studies of 13 colleges from home and host supervisor perspective. Report concludes that the effectiveness of colleges has improved since 2015 in the areas of information-sharing, coordinated risk assessment and crisis preparedness. Challenges remain, including those related to legal constraints on information-sharing, supervisory resource constraints and expectation gaps between home and host supervisors. Report sets out sound practices that include placing emphasis on the work between (or outside) formal college meetings, and encouraging home and host supervisors to reach out to each other to clarify expectations.

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

Type: Implementation

Parent: Principles for Effective Supervisory Colleges

Peer: Progress Report on the Implementation of Principles for Effective Supervisory Colleges

Topics: Cross-border cooperation, Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

EU Regulatory Standards on Simplified Obligations

EBA regulatory technical standards on application of simplified obligations relating to recovery and resolution planning

European Banking Authority report on the application of simplified obligations and waivers in recovery and resolution planning and its Regulatory Technical Standards specifying the eligibility criteria to determine whether institutions could e subject to simplified obligations when drafting such plans .

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

Type: Standard

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Application of Simplified Obligations

Topics: Recovery and resolution, Cross-border cooperation, Systemically important financial institutions (SIFIs)

Sectors: Banking, Securities

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Resources

382 records

Risk-Based Supervision of Cross-Border Groups

Key Attributes Assessment Methodology for the Insurance Sector

Cross-border Resolution Cooperation and Information Sharing

Insurance Core Principles and Common Framework for the Supervision of Internationally Active Insurance Group

Global Financial Innovation Network (GFIN)

The Post-Crisis Challenges Facing Supervisors

Report on the Functioning of Supervisory Colleges in 2017

Cross-Border Retail Payments

Progress Report on the Implementation of Principles for Effective Supervisory Colleges

EU Regulatory Standards on Simplified Obligations

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