Recovery and resolution

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Supervisory Priorities in non-Basel Committee Jurisdictions

Results of FSI survey of macroeconomic and financial stability priorities and challenges

Financial Stability Institute paper sets out results of survey of jurisdictions that are not member of Basel Committee on Banking Supervision (BCBS) to gain understanding of their supervisory priorities and challenges. Results show top three macroeconomic and financial stability challenges in non-BCBS jurisdictions are: i) increasing digitalization of finance and financial technology; ii) low or negative interest rate environment; and iii) commodity price volatility. Top three enhancements to supervisory approaches are: i) ensuring forward-looking approach to (risk-based) supervision; ii) enhancing on-site and off-site supervisory approaches; and iii) strengthening bank resolution frameworks.

Publisher: Others Release date: Oct 2016

Type: Consultative, discussion and issues paper

Topics: Supervisory framework, Risk-based supervision, Recovery and resolution, Systemic risk

Sectors: Banking

OCC Guidelines on Recovery Planning

OCC final guidelines for recovery planning by large insured OCC-regulated institutions

US Office of the Comptroller of the Currency guidelines provide comprehensive framework for evaluating financial effects of severe stress that may affect a covered institution and options it may take to remain viable under such stress. Applies to national banks, federal savings associations, and federal branches of foreign banks with $50 billion or more in average total consolidated assets.

Publisher: National Regulators Release date: Sep 2016 Country: United States

Type: Guideline

Topics: Recovery and resolution

Sectors: Banking

Guiding Principles on the Temporary Funding Needed to Support the Orderly Resolution of a G-SIB

FSB principles on ensuring adequate liquidity funding in resolution

Financial Stability Board principles for temporary funding of global systemically important banks (G-SIBs) in resolution. Principles help to address risk of banks having insufficient liquidity to maintain critical operations during a resolution. Principles are intended to ensure effective resolution of G-SIBs without bail-out by the public sector and in a way that reduces moral hazard with a preference for private sector provision of liquidity. Relevant in context of domestic systemically important banks (D-SIBs) as well.

Publisher: Global Standard-Setting Bodies Release date: Aug 2016

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Principles for Cross-Border Effectiveness of Resolution Actions , Guidance on Cooperation and Information Sharing with Host Authorities Not Represented on CMGs, Guidance on Arrangements to Support Operational Continuity in Resolution, Funding Strategy Elements of an Implementable Resolution Plan

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

Sectors: Banking

Guidance on Arrangements to Support Operational Continuity in Resolution

FSB guidance to ensure continuity of critical shared services

Financial Stability Board guideline sets out arrangements to ensure continuity of critical shared services, such as IT infrastructure and software-related services, which are necessary to maintain the provision of, or facilitate orderly wind down of, an institution's critical functions in resolution. Addressing these issues will help to remove impediments to cross-border resolution of failing financial institutions.

Publisher: Global Standard-Setting Bodies Release date: Aug 2016

Type: Guideline

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Principles for Cross-Border Effectiveness of Resolution Actions , Guidance on Cooperation and Information Sharing with Host Authorities Not Represented on CMGs, Guiding Principles on the Temporary Funding Needed to Support the Orderly Resolution of a G-SIB, Continuity of Access to Financial Market Infrastructures for a Firm in Resolution

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

Sectors: Banking

List of Designated Resolution Authorities

EBA list of resolution and contact authorities in Europe

European Banking Authority list of designated Resolution Authorities that are empowered to apply resolution tools and powers, along with relevant Contact Authorities.

Publisher: Regional Standard-Setting Bodies Release date: Aug 2016

Type: Consultative, discussion and issues paper

Topics: Recovery and resolution

Sectors: Banking

Content of Recovery Plans, Resolution Plans and Group Resolution Plans

EU regulation addressing implementation of the Bank Recovery and Resolution Directive (BRRD)

European Union regulation to supplement Bank Recovery and Resolution Directive (BRRD). Sets out requirements for the content of recovery plans, resolution plans and group resolution plans, minimum criteria that supervisory authorities to assess as regards: i) recovery plans; ii) conditions for group financial support; iii) requirements for independent valuers; iv) contractual recognition of write-down and conversion powers; v) procedures and contents of notification requirements; and iv) notice of suspension and operating function of resolution colleges.

Publisher: Regional Standard-Setting Bodies Release date: Jul 2016

Type: Law, Regulation and Policy

Parent: Bank Recovery and Resolution Directive (BRRD)

Topics: Recovery and resolution, Cross-border cooperation

Sectors: Banking, Securities

Comparative Report on Governance Arrangements and Recovery Indicators

EBA report on implementation of recovery planning requirements

European Banking Authority benchmarking report focuses on recovery plan governance arrangements and recovery indicators. Based on analysis of the recovery plans of 26 European cross-border banking groups with parent institutions located across 12 European Union (EU) countries. Aims to support supervisors and banks in identifying crucial elements that should be considered when designing credible governance arrangements and effective indicator frameworks.

Publisher: Regional Standard-Setting Bodies Release date: Jul 2016

Type: Consultative, discussion and issues paper

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Recovery Planning Scenarios, Comparative Report on the Approach to Determining Critical Functions and Core Business Lines in Recovery Plans, Recovery Planning

Topics: Recovery and resolution, Corporate governance

Sectors: Banking

Nordic Experience of Cooperation on Cross-Border Regulation and Crisis Resolution

FSB report presents key facts about Nordic experience and challenges faced by national authorities

Financial Stability Report discusses Nordic experience of cross-border regulation and crisis resolution. Nordic banking system is highly integrated and may provide example of how cross-border banks may influence interaction between national authorities. Implementation of Basel III framework resulted in enhanced cooperation. Countries have found pragmatic solutions when needed. Some efforts failed due to diverging national interests, particularly with regard to managing and resolving crises in cross-border banks. Highlights some remaining challenges related to European Banking Union, systemically important branches and crisis management and resolution.

Publisher: Global Standard-Setting Bodies Release date: Jul 2016

Type: Consultative, discussion and issues paper

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

Sectors: Banking

Consultation on Enhancements to Regulatory Requirements on Protection of Customer's Moneys and Assets

MAS proposal to enhance the regulatory regime governing the protection of client moneys and assets held by capital markets intermediaries

Monetary Authority of Singapore draft sets out: i) measures relating to safeguarding, identification and use of customer's moneys and assets; and ii) application of the Licensing and Conduct of Business (LCB) regulations to banks, merchant banks and finance companies. Proposals take into account international standards promulgated by International Organization of Securities Commissions and Financial Stability Board.

Publisher: National Regulators Release date: Jul 2016 Country: Singapore

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Recovery and resolution

Sectors: Banking, Securities

Deadline for comments: Aug 2016

Contractual Recognition of Bail-in

PRA policy statement sets out final rules on contractual recognition and final supervisory statement on impracticability

UK Prudential Regulation Authority policy statement sets out final rule and supervisory statement to implement Article 55 of the European Union Bank Recovery and Resolution Directive (BRRD) which requires firms to include in certain non-EU law contracts governing liabilities, a term by which the relevant creditor or party to the contract recognizes that the liability may be bailed in by the Bank of England as resolution authority.

Publisher: National Regulators Release date: Jun 2016 Country: United Kingdom

Type: Law, Regulation and Policy

Parent: Bank Recovery and Resolution Directive (BRRD)

Topics: Recovery and resolution

Sectors: Banking, Securities

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Resources

382 records

Supervisory Priorities in non-Basel Committee Jurisdictions

OCC Guidelines on Recovery Planning

Guiding Principles on the Temporary Funding Needed to Support the Orderly Resolution of a G-SIB

Guidance on Arrangements to Support Operational Continuity in Resolution

List of Designated Resolution Authorities

Content of Recovery Plans, Resolution Plans and Group Resolution Plans

Comparative Report on Governance Arrangements and Recovery Indicators

Nordic Experience of Cooperation on Cross-Border Regulation and Crisis Resolution

Consultation on Enhancements to Regulatory Requirements on Protection of Customer's Moneys and Assets

Contractual Recognition of Bail-in

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