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Resilient and Inclusive Financial Services Delivery During COVID-19

TC survey of financial supervisors and financial services providers in Rwanda, Sierra Leone and Zambia

Toronto Centre report draws on the lessons that main actors in Zambia, Rwanda, and Sierra Leone have learned about resilience in the times of COVID-19. It identifies key insights into how these actors have continued to expand financial inclusion and what the current risks are: i) the growing importance of digital financial services both in the short term and long run as services expand; ii) the importance of an environment that is conducive to digital inclusion for the most marginalized markets; iii) the rising risks relating to trust and concerns around data privacy, transparency and fraud in a time when face-to-face models are more difficult to achieve; and iv) the need to enhance information gathering for effective and realistic supervision. 

Publisher: Toronto Centre     Release date: Nov 2021    

Type: Consultative, discussion and issues paper

Topics: COVID-19, Recovery and resolution

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

Lessons Learnt from the COVID-19 Pandemic from a Financial Stability Perspective

FSB report on lessons learnt from the pandemic

Financial Stability Board report updates the July interim report on the preliminary lessons learnt for financial stability from the COVID-1 pandemic, and outlines actions by the FSB and other standard-setting bodies in response to those lessons. 

Publisher: Global Standard-Setting Bodies     Release date: Oct 2021    

Type: Consultative, discussion and issues paper

Topics: COVID-19, Macroprudential, Crisis management and contingency planning, Recovery and resolution

Sectors: Banking

Minimum Requirement for Own Funds and Eligible Liabilities (MREL) - Buffers and Threshold Conditions

PRA supervisory statement on relationship between MREL and regulatory capital buffers and threshold conditions

UK Prudential Regulation Authority supervisory statement regarding relationship between minimum requirement for own funds and eligible liabilities (MREL) and regulatory buffers. Sets out PRA's expectations regarding relationship between MREL and PRA's Threshold Conditions, the minimum requirements that firms must meet in order to be permitted to carry on regulated activities. Role of MREL is to make resolution strategies workable by ensuring that there are equity and liabilities within the firm that can credibly absorb losses and recapitalize businesses that need to continue operating.

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

Type: Supervisory Practice

Parent: Bank Recovery and Resolution Directive (BRRD)

Topics: Capital adequacy, Recovery and resolution, Licensing

Sectors: Banking

Resolution Planning

BOE-PRA Supervisory Statement setting out details on information that firms should submit to facilitate resolution planning

Bank of England Prudential Regulatory Authority Supervisory Statement setting out details on information that firms should submit to the PRA to facilitate resolution planning. Aimed at firms to which the Resolution Pack Part of the PRA Rulebook applies. Issued pursuant to the PRA's Policy Statement on implementing the EU's Bank Recovery and Resolution Directive.

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

Type: Supervisory Practice

Topics: Recovery and resolution

Sectors: Banking, Securities

Recovery Planning in the UK

PRA expectations on the content of recovery plans

Bank of England Prudential Regulatory Authority's expectations on the content of recovery plans and group recovery plans. Issued pursuant to the PRA's Policy Statement on implementing the EU's Bank Recovery and Resolution Directive. 

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

Type: Supervisory Practice

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Guidelines on the Range of Scenarios to be Used in Recovery Plans, Guidelines on Recovery Plan Indicators, Content of Recovery Plans, Resolution Plans and Group Resolution Plans

Topics: Recovery and resolution

Sectors: Banking, Securities

2020 Resolution Report

FSB report highlights need for resolution preparedness

Financial Stability Board provides an update on progress in implementing policy measures to enhance the resolvability of systemically important financial institutions and highlights the need for resolution preparedness. It also discusses lessons learned from the COVID-19 pandemic, which confirmed the importance of ongoing work on resolvability, including for central counterparties (CCPs).

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

Type: Consultative, discussion and issues paper

Topics: Recovery and resolution, COVID-19

Sectors: Banking, Insurance, Pensions, Securities

Exit Policy: Taking Supervisory Action to Deal with Non-Viable Financial Institutions

TC note discusses the most significant principles related to exit decisions

Toronto Centre Note pulls together the most significant principles related to exit decisions, including those providing the foundation for an exit decision that may ultimately be required. It is intended to help supervisory authorities, especially in jurisdictions where in-house resources are not extensive, to put in place an exit policy that will serve as a pragmatic guide to taking action to deal with failing financial institutions efficiently and confidently when the need arises. The Note also discusses the challenges of determining when an institution may be approaching a state of non-viability or be non-viable. 

Publisher: Toronto Centre     Release date: Oct 2020    

Type: TC Notes

Peer: Recovery Planning , Resolution: Implications for Supervisors

Topics: Recovery and resolution

Sectors: Banking, Insurance, Pensions, Securities

Supervising Liquidity and Funding Risks

PRA supervisory statement on liquidity risk

UK Prudential Regulation Authority supervisory statement sets out PRA's approach to supervising liquidity and funding risks. Covers its expectations regarding: i) Internal Liquidity Adequacy Assessment Process; ii) Liquidity Supervisory Review and Evaluation Process; iii) drawing down Liquid Asset Buffers; iv) collateral placed at Bank of England; v) daily reporting under stress; and vi) disclosure of Pillar 2 guidance. Updated March 2020.

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

Type: Supervisory Practice

Topics: Liquidity risk and rules, Stress-testing, Recovery and resolution

Sectors: Banking

Recovery and Resolution Planning: Implications for Supervisors

TC podcast on implications for supervisors should an institution fail

Toronto Centre podcast focuses on the recent TC Notes on recovery and resolution planning and discusses implications for supervisors should an institution fail.

Publisher: Toronto Centre     Release date: Sep 2020    

Type: TC Videos

Peer: Recovery Planning

Topics: Recovery and resolution

Sectors: Banking, Insurance, 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

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