Recovery and resolution

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Contingent Capital and Bail-In Debt: Tools for Bank Resolution

BOC discussion paper on improving resolution of large failing banks

Bank of Canada report considers two related approaches to improving the resolution of large, interconnected failing banks: i) contingent capital and ii) bail-in debt. Focuses on the types of contingent instrument that have been subject of proposals by Office of the Superintendent of Financial Institutions (OSFI) of Canada and, more recently, by the Basel Committee on Banking Supervision (BCBS), and that have been a focus of banking reform policy discussions more generally.

Publisher: National Regulators Release date: Nov 2010 Country: Canada

Type: Consultative, discussion and issues paper

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs), Capital adequacy

Sectors: Banking

Reducing the Moral Hazard Posed by SIFIs

FSB policy framework for addressing the systemic and moral hazard risks associated with systemically important financial institutions (SIFIs)

Financial Stability Board recommendations for improving authorities' ability to resolve SIFIs in an orderly manner without exposing tax-payers to loss and while maintaining continuity of vital economic functions. Requires changes to national resolution regimes, including to enable resolution authorities to coordinate in cross-border resolutions. Recommends that G-SIFIs, financial institutions that are globally systemic, have higher loss-absorbency capacity than Basel III minimum levels and be subject to more intensive supervision and resolution planning to reduce the probability and impact of failure.

Publisher: Global Standard-Setting Bodies Release date: Oct 2010

Type: Standard

Parent: Global Systemically Important Insurers (G-SIIs) and the Policy Measures That Will Apply to Them

Peer: Guidance on Supervisory Interaction With Financial Institutions on Risk Culture

Topics: Systemically important financial institutions (SIFIs), Recovery and resolution, Capital adequacy, Supervisory framework, Crisis management and contingency planning

Sectors: Banking, Insurance, Securities

Resolution of Cross-Border Banks - A Proposed Framework for Enhanced Coordination

IMF proposal for improved cross-border cooperation in resolution efforts for systemically important financial groups

Proposes a framework for cross-border cooperation involving i) amendments to laws to require national authorities to coordinate resolution efforts with counterparts in other jurisdictions; ii) better aligning national resolution regimes; iii) specification of the principles that would guide burden sharing among cooperating authorities; and iv) agreement on coordination procedures designed to enable resolution actions in the context of a crisis to be taken as quickly as possible and to have cross border effect.

Publisher: International Organizations Release date: Jun 2010

Type: Consultative, discussion and issues paper

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

Sectors: Banking, Insurance, Securities

Report and Recommendations of the Cross-border Bank Resolution Group

BCBS final guidelines to strengthen capacity to effectively resolve cross-border banks

Basel Committee on Banking Supervision analysis of legal and policy frameworks for cross-border crises resolutions and work to identify the lessons learned from the financial crisis which began in August 2007. Recommendations relate to the following areas: i) effective national resolution powers; ii) frameworks for a coordinated resolution of financial groups; iii) convergence of national resolution measures; iv) cross-border effects of national resolution measures; v) reduction of complexity and interconnectedness of group structures and operations; vi) planning in advance for orderly resolution; vii) cross-border cooperation and information sharing; viii) strengthening risk mitigation mechanisms; ix) transfer of contractual relationships;and x) exit strategies and market discipline.

Publisher: Global Standard-Setting Bodies Release date: Feb 2010

Type: Guideline

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

Sectors: Banking, Securities

Taking-up and Pursuit of the Business of Insurance and Reinsurance (Solvency II)

Directive 2009/138/EC of the European Parliament and Council of 25 November 2009 on insurance and reinsurance

European Commission directive provides legal framework for harmonizing prudential requirements governing insurance and reinsurance undertakings, including capital requirements, valuation techniques, and governance and reporting standards. Sets out rules for the supervision, reorganization and winding-up of insurance and reinsurance firms and groups.

Publisher: Regional Standard-Setting Bodies Release date: Nov 2009

Type: Standard

Peer: Report on the Functioning of Insurance Supervisory Colleges in 2016, Minimum Requirements on the System of Governance of Insurance Undertakings , Guidelines on Own Risk and Solvency Assessment under Solvency II, Guidelines on System of Governance under Solvency II

Topics: Capital adequacy, Supervisory framework, Recovery and resolution, Transparency and disclosure

Sectors: Insurance

Trust Less, Verify More

WB note on financial supervision in the wake of the 2007-2008 financial crisis

Word Bank note advocates changes in financial supervision in response to causes of the financial crisis and regulatory proposals arising from it. Recommends supervisors adopt tougher and more challenging approach to firms they regulate, exercise more supervisory judgment, involve themselves in macroprudential oversight, and participate more actively in supervision of firms with cross-border activities.

Publisher: International Organizations Release date: Jul 2009

Type: Consultative, discussion and issues paper

Peer: Bank Governance

Topics: Crisis management and contingency planning, Macroprudential, Recovery and resolution

Sectors: Banking

Principles for Cross-border Cooperation on Crisis Management

FSF high-level principles for managing and resolving financial crises

Financial Stability Forum (now Financial Stability Board) principles for relevant authorities, including supervisory agencies, central banks and finance ministries, to cooperate in making advanced preparations for dealing with financial crises and in managing them.

Publisher: Others Release date: Apr 2009

Type: Guideline

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

Sectors: Banking

Guide to Intervention for Deposit-Taking Institutions

OSFI guideline on use its and CDIC's discretionary intervention powers to address concerns with deposit-taking institutions

Office of the Superintendent of Financial Institutions of Canada guideline summarizes circumstances under which progressively more severe intervention measures by OSFI and the Canadian Deposit Insurance Corporation can be expected to be taken and describes OSFI and CDIC coordination mechanisms.

Publisher: National Regulators Release date: Feb 2008 Country: Canada

Type: Guideline

Topics: Early intervention and enforcement, Recovery and resolution

Sectors: Banking

Guidance for Developing Effective Deposit Insurance Systems

Financial Stability Forum guidance that draws on the practical experience of its members and other countries and is designed to be adaptable to a broad range of country circumstances, settings and structures.

Financial Stability Forum guidance developed through a consultative process that involved over 100 countries. Draws heavily on the practical experience of members and other countries. Is designed to be adaptable to a broad range of country circumstances, settings and structures. Covers: the goals of deposit insurance (stability of financial systems, protection of less sophisticated depositors); the importance of broader financial safety nets; mandates, powers and organisation structure of deposit insurers; coverage and membership issues; reimbursement of depositors; and dealing with failed or failing banks.

Publisher: International Organizations Release date: Aug 2001

Type: Guideline

Topics: Deposit insurance, Recovery and resolution

Sectors: Banking

Bank Failure

OCC evaluation of the factors contributing to bank failures

US Office of the Comptroller of the Currency paper identifies specific internal weaknesses that most influence a bank's failure. Also assesses primary factors that distinguish banks that fail from those that do not. Demonstrates that management and board of directors are ultimately responsible for success or failure of a bank. Highlights need for a bank to establish strong policies, controls and systems when economic conditions are good, thereby greatly increasing chances of remaining profitable when economic conditions are bad.

Publisher: National Regulators Release date: Jun 1998

Type: Consultative, discussion and issues paper

Peer: Allowance for Loan and Lease Losses, Commercial Loan Examination Procedures , Commercial Real Estate Lending Examinations , Loan Portfolio Management , Sampling Methodologies

Topics: Recovery and resolution, Corporate governance

Sectors: Banking

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Resources

382 records

Contingent Capital and Bail-In Debt: Tools for Bank Resolution

Reducing the Moral Hazard Posed by SIFIs

Resolution of Cross-Border Banks - A Proposed Framework for Enhanced Coordination

Report and Recommendations of the Cross-border Bank Resolution Group

Taking-up and Pursuit of the Business of Insurance and Reinsurance (Solvency II)

Trust Less, Verify More

Principles for Cross-border Cooperation on Crisis Management

Guide to Intervention for Deposit-Taking Institutions

Guidance for Developing Effective Deposit Insurance Systems

Bank Failure

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