Operational risk

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A New Banking Model for Africa: Lessons on Digitization from Four Years of Operations

IFC and Mastercard Foundation guide to support financial institutions embarking on their digital transformation

International Finance Corporation and Mastercard Foundation report sets out lessons on digitization. This study extracts lessons from several interim reports into a singular end report on DFS strategy and implementation, business models and how institutional culture and change management influence organizations undertaking a DFS journey. By analyzing the experiences of these FIs over time, the study yields valuable lessons and benchmarks for the industry and helps to differentiate salient DFS issues faced by FIs versus mobile network operators.

Publisher: International Organizations Release date: Apr 2019

Type: Consultative, discussion and issues paper

Topics: FinTech, Operational risk, Consumer education and protection

Sectors: Banking

Fintech in Latin America and the Caribbean: Stocktaking

IMF report provides insight into FinTech developments, risks arising and initial regulatory responses

International Monetary Fund paper documents the evolution of FinTech in Latin America and the Caribbean, focusing on financial development, the FinTech landscape for domestic and cross border payments and alternative financing, cybersecurity, financial integrity and stability risks, regulatory responses, and considerations for central bank digital currencies.

Publisher: International Organizations Release date: Mar 2019

Type: Consultative, discussion and issues paper

Topics: FinTech, Cyber risk, Operational risk

Sectors: Banking

RegTech and SupTech: Change for Markets and Authorities

ESMA report sets out how some financial institutions are using FinTech to meet regulatory requirements

European Securities and Markets Authorities report sets out results of analysis of regulatory and supervisory technologies currently being developed in response to various demand and supply drivers.

Publisher: Regional Standard-Setting Bodies Release date: Mar 2019

Type: Consultative, discussion and issues paper

Topics: FinTech, Financial inclusion, Financial market infrastructure, Operational risk, Cyber risk

Sectors: Securities

Guidelines on Outsourcing Arrangements

EBA guidelines set out how supervisory expectations can keep pace with the growing use of outsourcing by financial institutions

European Banking Authority guidelines on outsourcing arrangements set out specific provisions for governance frameworks of financial institutions within the scope of EBA's mandate with regard to outsourcing arrangements and related supervisory expectations and processes.

Publisher: Regional Standard-Setting Bodies Release date: Feb 2019

Type: Guideline

Topics: Operational risk

Sectors: Banking

Cyber-resilience: Range of Practices

BCBS report discusses bank cyber-resilience practices across jurisdictions

Basel Committee on Banking Supervision report identifies, describes and compares the range of observed bank, regulatory and supervisory cyber-resilience practices across jurisdictions. Discusses: i) cyber-resilience standards and guidelines; ii) cyber-governance; iii) approaches to risk management, testing and incident response and recovery; iv) communication and sharing of information; and v) interconnections with third parties.

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

Type: Consultative, discussion and issues paper

Topics: Cyber risk, Operational risk

Sectors: Banking

Supervision of Cyber Risk

TC Note provides broad discussion of cyber risk and sets out framework for its supervision

TC Note sets out the nature of cyber risk and outlines the fundamental elements of a framework for implementing an effective supervision program for cyber risk assessment in regulated financial institutions. Discusses how supervisors may assess institutions' governance policies and practices for cyber risk management.

Publisher: Toronto Centre Release date: Dec 2018

Type: TC Notes

Topics: Cyber risk, FinTech, Operational risk

Sectors: Banking, Insurance, Pensions, Securities

Prudential Standard on Information Security

APRA prudential requirements for addressing cyber risk and other information security threats

Australian Prudential Regulation Authority standard to minimize the likelihood and impact of information security incidents on the confidentiality, integrity or availability of information assets, including those managed by related parties or third parties.

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

Type: Standard

Topics: Cyber risk, FinTech, Operational risk

Sectors: Banking, Insurance, Pensions

The Basel Framework in 100 Jurisdictions: Implementation Status and Proportionality Practices

FSI report sets out how authorities are implementing international standards in a proportionate manner

Financial Stability Institute report sets out current state of implementation of key Basel standards and outlines associated proportionality practices in 100 jurisdictions that are not members of the Basel Committee on Banking Supervision (BCBS). Report includes a range of proportionality practices applied in non-BCBS jurisdictions.

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

Type: Consultative, discussion and issues paper

Topics: Risk-based supervision, Transparency and disclosure, Capital adequacy, Liquidity risk and rules, Market risk, Operational risk

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

Notice on Risk Based Capital Adequacy Requirements for Banks in Singapore

MAS notice establishes minimum capital adequacy ratios for banks and the methodology to calculate the ratios

Monetary Authority of Singapore notice establishes minimum capital adequacy ratios for banks and the methodology they must use to calculate these ratios (Pillar 1). Provides a range of approaches for calculating regulatory capital based on the complexity and sophistication of a bank's businesses and operations. Requires banks to consider whether they have adequate capital to cover exposure to all risks and sets out MAS expectations for bank's internal capital adequacy assessment process (Pillar 2). Specifies minimum disclosure requirements in relation to capital adequacy.

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

Type: Law, Regulation and Policy

Parent: Basel III Leverage Ratio Framework and Disclosure Requirements, Revisions to the Basel III Leverage Ratio Framework

Peer: Risk Based Capital Adequacy Requirements

Topics: Capital adequacy, Credit risk, Market risk, Operational risk, Securitization, Transparency and disclosure

Sectors: Banking

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Resources

382 records

A New Banking Model for Africa: Lessons on Digitization from Four Years of Operations

Fintech in Latin America and the Caribbean: Stocktaking

RegTech and SupTech: Change for Markets and Authorities

Guidelines on Outsourcing Arrangements

Cyber-resilience: Range of Practices

Supervision of Cyber Risk

Prudential Standard on Information Security

The Basel Framework in 100 Jurisdictions: Implementation Status and Proportionality Practices

Guidelines on Provision of Digital Advisory Services

Notice on Risk Based Capital Adequacy Requirements for Banks in Singapore

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