Financial inclusion

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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

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

Topics: Consumer education and protection, Transparency and disclosure, Financial inclusion, Conduct, Licensing

Sectors: Banking, Insurance, Pensions, Securities

Gender Considerations in Balancing Financial Inclusion and Anti-Money Laundering and Countering the Financing of Terrorism

AFI guidance note discusses how to balance women's financial inclusion with financial integrity policy objectives

Alliance for Financial Inclusion guidance note discusses current practices in the AFI network to support financial policymakers and regulators responsible for implementing and overseeing AML/CFT standards at the national level. Raises awareness of specific financial inclusion challenges disproportionately faced by women in the national implementation of AML/CFT standards, and assists in the formulation and implementation of policy responses that can contribute to advancing women's financial inclusion.

Publisher: Others Release date: Nov 2018

Type: Consultative, discussion and issues paper

Topics: Money laundering and terrorist financing, Financial inclusion, Gender equality

Sectors: Banking, Microfinance

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

Women in Finance: A Case for Closing Gaps

IMF report analyzes women's roles as users of financial services and as leaders in financial institutions and supervisory agencies

International Monetary Fund report examines large gap between representation of men and women in leadership positions in banks and banking supervision agencies worldwide. Analysis suggests that the presence of women as well as a higher share of women on bank boards appears associated with greater financial resilience and greater bank stability.

Publisher: International Organizations Release date: Sep 2018

Type: Consultative, discussion and issues paper

Topics: Gender equality, Financial inclusion

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, Conduct, Financial inclusion, Transparency and disclosure

Sectors: Banking

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

FCA Mission: Approach to Consumers

FCA report on its approach to regulating for benefit of consumers

Financial Conduct Authority report sets out its approach to regulating for consumers and its desire for markets where: i) high-quality, good value products and services that meet consumers' needs are available; ii) consumers can buy the products and services they need and the way in which they are sold is clear, fair and not misleading; and iii) the needs of vulnerable consumers are taken into account.

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

Type: Consultative, discussion and issues paper

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

Topics: Consumer education and protection, Transparency and disclosure, Financial inclusion

Sectors: Banking, Insurance, Pensions, Securities

Big Data Meets Artificial Intelligence

BaFin consultation sets out challenges and implications for the supervision and regulation of financial services

Federal Financial Supervisory Authority of Germany (BaFin) consultation: i) addresses technological developments of big data analytics and artificial intelligence; ii) elaborates scenarios outlining the potential impact these technologies might have on the financial market and market players; and iii) highlights potential implications for financial supervisory authorities. Consultation aims to initiate discussion on the impact of digitalization on established market and supervisory structures.

Publisher: National Regulators Release date: Jul 2018 Country: Germany

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Financial market infrastructure, Consumer education and protection, Operational risk, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Deadline for comments: Sep 2018

Innovative Technology in Financial Supervision (Suptech): The Experience of Early Users

FSI guidance for supervisory agencies on developing a strategy to realize the potential benefits of SupTech

Financial Stability Institute guidance outlines the experiences of early users and highlights specific considerations to develop a SupTech strategy for supervisory agencies. Sets out challenges to supervisory agencies when developing or using SupTech applications: i) increased operational risks (cyber risk, data quality, and finding the right talent); ii) computational capacity constraints; iii) management support; and iv) buy-in from supervision units. This paper outlines the experiences of early users and highlights specific considerations to develop a SupTech strategy for supervisory agencies to take advantage of these developments.

Publisher: International Organizations Release date: Jul 2018

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Financial market infrastructure, Supervisory framework, Supervisory structures, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Browsing to Borrow: "Mom & Pop" Small Business Perspectives on Online Lenders

FRB report examines small business owners' perceptions of online lenders

US Federal Reserve Board and Federal Reserve Board of Cleveland report gauges small business owners' perceptions of online lenders and their understanding and interpretation of information online lenders use to describe their credit products. Key findings include: i) participants are already familiar with online lending; ii) participants prefer websites with detailed product information; and iii) participants found sample online products confusing.

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

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Financial inclusion, Transparency and disclosure

Sectors: Banking

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Resources

382 records

FCA Mission: Approach to Authorization

Gender Considerations in Balancing Financial Inclusion and Anti-Money Laundering and Countering the Financing of Terrorism

Guidelines on Provision of Digital Advisory Services

Women in Finance: A Case for Closing Gaps

HKMA Mystery Shopping Program

Global Financial Innovation Network (GFIN)

FCA Mission: Approach to Consumers

Big Data Meets Artificial Intelligence

Innovative Technology in Financial Supervision (Suptech): The Experience of Early Users

Browsing to Borrow: "Mom & Pop" Small Business Perspectives on Online Lenders

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