Operational risk

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The PRA's Methodologies for Setting Pillar 2 Capital

PRA policy statement on its Pillar 2 capital requirements

UK Prudential Regulatory Authority statement of policy sets out the methodologies that the PRA uses to inform the setting of Pillar 2 capital for all PRA-regulated banks, building societies, designated investment firms and all PRA-approved or PRA-designated holding companies.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Supervisory Practice

Parent: Capital Requirements Directive - CRD IV, Capital Requirements - CRD IV/CRR – Frequently Asked Questions

Peer: Assessing Capital Adequacy Under Pillar 2

Topics: Operational risk

Sectors: Banking

Effective Practices for Cyber Incident Response and Recovery: Final Report

FSB toolkit of effective practices

Financial Stability Board toolkit of effective practices aims to assist organizations in their cyber incident response and recovery activities. Toolkit includes 49 practices for effective cyber incident response and recovery across seven components: i) governance; ii) planning and preparation; iii) analysis; iv) mitigation; v) restoration and recovery; vi) coordination and communication; and vii) improvement.

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

Type: Consultative, discussion and issues paper

Topics: Operational risk

Sectors: Banking, Insurance, Pensions, Securities

The Use of Supervisory and Regulatory Technology by Authorities and Regulated Institutions

FSB report on use of RegTech and SupTech by FSB members and related institutions

Financial Stability Board report finds that technology and innovation are transforming the global financial landscape, presenting opportunities, risks and challenges for regulated institutions and authorities alike. The report includes 28 case studies giving practical examples of how SupTech and RegTech tools are being used.

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

Type: Consultative, discussion and issues paper

Topics: Operational risk

Cloud Computing, Banking-as-a-Service, and Open Banking

TC webcast discusses the implications of cloud computing, banking-as-a-service, and open computing for financial supervisors

Toronto Centre webcast discusses the implications of cloud computing, banking-as-a-service, and open computing for financial supervisors. While these arrangements may provide financial services with opportunities for greater efficiency and competitiveness, they may also increase risks such as strategic risks.

Publisher: Toronto Centre Release date: Sep 2020

Type: TC Videos

Topics: Operational risk

Sectors: Banking, Insurance, Pensions, Securities

Revisions to the Principles for the Sound Management of Operational Risk

Proposed revisions to the original BCBS principles

BCBS proposed updates to Principles for the Sound Management of Operational Risk to: i) align the principles with the recently finalized Basel III operational risk framework; ii) update the guidance where needed in the areas of change management and information and communication technologies; and iii) enhance the overall clarity of the principles.

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

Type: Consultative, discussion and issues paper

Peer: Principles for the Sound Management of Operational Risk

Topics: Operational risk

Sectors: Banking, Insurance

Deadline for comments: Nov 2020

Draft Guidelines on Outsourcing to Cloud Service Providers

ESMA consultation on guidelines on identifying and addressing risks from outsourcing to cloud service providers

European Securities and Markets Authority draft guidelines provide guidance on the outsourcing requirements applicable to financial market participants when they outsource to cloud service providers. They aim to help firms and competent authorities identify, address and monitor the risks and challenges that arise from cloud outsourcing arrangements.

Publisher: Regional Standard-Setting Bodies Release date: Jul 2020

Type: Consultative, discussion and issues paper

Topics: Operational risk

Sectors: Securities

Pandemics and Financial Stability

Part 5 of TC webcast series

Toronto Centre webinar provides insights into what financial supervisors should be doing in a COVID-19 world, including activating their business continuity plans, setting new priorities, assessing risks, and monitoring corporate governance in supervised firms.

Publisher: Toronto Centre Release date: May 2020

Type: TC Videos

Topics: Operational risk

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

Pandemics and Financial Stability

Part 4 of TC webcast series

Toronto Centre webinar helps financial supervisors and regulators to gain insights and perspectives on COVID-19 and its impact on the global financial system.

Publisher: Toronto Centre Release date: Apr 2020

Type: TC Videos

Topics: Operational risk

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

Pandemics and Financial Stability

Part 3 of TC webcast series

Toronto Centre webinar helps financial supervisors and regulators to gain insights and perspectives on COVID-19 and its impact on the global financial system.

Publisher: Toronto Centre Release date: Apr 2020

Type: TC Videos

Topics: Operational risk

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

Pandemics and Financial Stability

Part 2 of TC webcast series

Toronto Centre webinar helps financial supervisors and regulators to gain insights and perspectives on COVID-19 and its impact on the global financial system.

Publisher: Toronto Centre Release date: Mar 2020

Type: TC Videos

Topics: Operational risk

Sectors: Banking, Insurance, Microfinance, Pensions, Securities

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Resources

382 records

The PRA's Methodologies for Setting Pillar 2 Capital

Effective Practices for Cyber Incident Response and Recovery: Final Report

The Use of Supervisory and Regulatory Technology by Authorities and Regulated Institutions

Cloud Computing, Banking-as-a-Service, and Open Banking

Revisions to the Principles for the Sound Management of Operational Risk

Draft Guidelines on Outsourcing to Cloud Service Providers

Pandemics and Financial Stability

Pandemics and Financial Stability

Pandemics and Financial Stability

Pandemics and Financial Stability

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