Recovery and resolution

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Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

FSB guiding principles to support the implementation of internal TLAC and the ability to effect bail-in

Financial Stability Board guiding principles to support implementation of internal TLAC requirement in globally systemically important banks (G-SIBs), covering: i) process for identifying material sub-groups; ii) considerations relating to determination of the size of the internal TLAC requirement, its composition and trigger mechanism; and iii) cooperation and coordination between G-SIB home and key host authorities.

Publisher: Global Standard-Setting Bodies Release date: Jul 2017

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Principles on Loss-Absorbing and Recapitalisation of G-SIBs in Resolution , Continuity of Access to Financial Market Infrastructures for a Firm in Resolution, Principles on Bail-in Execution

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

Sectors: Banking

Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

FSB guidance addresses risk of a bank in resolution being unable to maintain access to clearing, payment, settlement and custody services

Financial Stability Board guidance to support continued access to financial market infrastructures (FMIs) by a firm in resolution. Arrangements apply at the level of providers of critical FMI services, at level of FMI participants and at level of relevant resolution and FMI authorities.

Publisher: Global Standard-Setting Bodies Release date: Jul 2017

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Guidance on Arrangements to Support Operational Continuity in Resolution, Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs), Financial market infrastructure

Sectors: Banking

HKMA Supervisory Policy - Recovery Planning for Foreign Branches

HKMA guidance for overseas-incorporated banks with branch operations in Hong Kong

Hong Kong Monetary Authority guideline provides guidance for overseas-incorporated banks with branch operations in Hong Kong and smaller locally-incorporated banks for the preparation of recovery plans.

Publisher: National Regulators Release date: Jul 2017 Country: Hong Kong, China

Type: Guideline

Parent: HKMA Supervisory Policy - Recovery Planning

Peer: HKMA Supervisory Policy - Recovery Planning, Bank Culture Reform

Topics: Recovery and resolution, Crisis management and contingency planning

Sectors: Banking

Dealing with a Market Turning Event in the General Insurance Sector

PRA supervisory statement on how insurance firms should prepare for and respond to a major general insurance loss event

UK Prudential Regulation Authority supervisory statement sets out PRA's expectations of how firms operating in global specialty insurance and reinsurance markets, whose business models are exposed to low-probability, high-severity catastrophic risks, should prepare for and respond to a major general insurance loss event that might affect their solvency and future business plans.

Publisher: National Regulators Release date: Jul 2017

Type: Supervisory Practice

Peer: Financial Management and Planning by Insurers

Topics: Risk management, Corporate governance, Recovery and resolution

Sectors: Insurance

Implementation of Principal G20 Financial Regulatory Reforms

FSB third annual report on implementation of post-crisis regulatory reforms

Financial Stability Report provides comprehensive assessment on implementation and effects of the agreed financial regulatory reforms. Implementation progress continues but is uneven across the four core reform areas. Addresses the core elements of the reform program: i) making financial institutions more resilient; ii) ending too-big-to-fail (TBTF); iii) making derivatives markets safer; and iv) transforming shadow banking into resilient market-based finance. Identifies three areas for further vigilance: i) maintaining an open and integrated financial system; ii) market liquidity; and iii) effects of reforms on emerging market and developing economies.

Publisher: Global Standard-Setting Bodies Release date: Jul 2017

Type: Consultative, discussion and issues paper

Peer: Implementation of G20/FSB Financial Reforms in Other Areas, Implementation of G20/FSB Recommendations Related to Securities Markets

Topics: Shadow banking, Capital adequacy, Liquidity risk and rules, Recovery and resolution, Systemically important financial institutions (SIFIs), Derivatives

Sectors: Banking, Securities, Insurance

Recovery Planning

KPMG report on recovery planning by banks

KPMG report advocates contingency planning for severe and wide-ranging adverse scenarios in order to enhance the resilience of banks. Plans should cover: i) governance and decision-making; ii) continuity of critical economic functions; iii) specifications of trigger points to activate recovery options; and iv) internal and external communications.

Publisher: Others Release date: Jul 2017

Type: Consultative, discussion and issues paper

Topics: Stress-testing, Recovery and resolution, Corporate governance

Sectors: Banking

Standards on Valuations in Resolution

EBA technical standards for the several valuations that are required under the BRRD

European Banking Authority final draft technical standards developed under the European Union's Bank Resolution and Recovery Directive (BRRD). The BRRD requires independent valuations to be carried out to inform the authorities's decisions for several purposes. Prior to resolution, valuations are required i) to assess whether the conditions for resolution or the write-down or conversion of capital instruments are met; and ii) to inform the choice of resolution action, the extent of any write-down or conversion of capital instruments, and other decisions on resolution implementation. After resolution, a valuation is required to determine whether an entity’s shareholders and/or creditors would have been better off in normal insolvency proceedings.

Publisher: Regional Standard-Setting Bodies Release date: May 2017

Type: Standard

Parent: Bank Recovery and Resolution Directive (BRRD)

Topics: Recovery and resolution

Sectors: Banking, Securities

Rate of Conversion of Debt to Equity in Bail-in

EBA guidelines on conversion of debt to equity in application of bail-in to creditors under the BRRD

European Banking Authority guidelines on setting conversion rates of debt to equity in accordance with bail-in provisions of the EU Bank Recovery and Resolution Directive (BRRD). Addresses how creditors may be appropriately compensated by means of the conversion rate, and the relative conversion rates that might be appropriate to reflect the priority of senior liabilities under insolvency law.

Publisher: Regional Standard-Setting Bodies Release date: Apr 2017

Type: Guideline

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Standards on Valuations in Resolution , Guidelines on the Treatment of Shareholders in Bail-in

Topics: Recovery and resolution

Sectors: Banking, Securities

Guidelines on Conversion Rates in Bail-in

EBA guidance on debt-to-equity conversion rates when bailing-in creditors

European Banking Authority guidelines on application of bail-in in the EU. Addresses how affected creditors may be appropriately compensated by means of the conversion rate, and the relative conversion rates that might be appropriate to reflect the priority of senior liabilities under insolvency law. Sets out guiding principles to which authorities should refer when setting conversion rates.

Publisher: Regional Standard-Setting Bodies Release date: Apr 2017

Type: Guideline

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Rate of Conversion of Debt to Equity in Bail-in

Topics: Recovery and resolution

Sectors: Banking

Guidelines on the Treatment of Shareholders in Bail-in

EBA guidelines on treatment of shareholders in bail-in

European Banking Authority guideline clarifies the circumstances under which it is appropriate to cancel, transfer, or severely dilute shares or other instruments of ownership. Where more than one choice (cancellation, dilution or transfer) is available, the choice should be guided by the need to meet the resolution objectives. National or EU company law may affect the appropriate choice, for example shares with special voting rights might be more appropriate to cancel than to transferor a transfer shares of a listed company would avoid an interruption of listing.

Publisher: Regional Standard-Setting Bodies Release date: Apr 2017

Type: Guideline

Parent: Bank Recovery and Resolution Directive (BRRD), Capital Requirements Regulation - CRR

Peer: Capital Requirements Directive - CRD IV, Guidelines on Conversion Rates in Bail-in

Topics: Recovery and resolution

Sectors: Banking

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Resources

382 records

Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs

Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

HKMA Supervisory Policy - Recovery Planning for Foreign Branches

Dealing with a Market Turning Event in the General Insurance Sector

Implementation of Principal G20 Financial Regulatory Reforms

Recovery Planning

Standards on Valuations in Resolution

Rate of Conversion of Debt to Equity in Bail-in

Guidelines on Conversion Rates in Bail-in

Guidelines on the Treatment of Shareholders in Bail-in

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