Risk management

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Enhanced Prudential Standards for Systemically Important Insurance Companies

FRB proposed standards for systemic insurers

US Federal Reserve Board proposed prudential standards that would be applicable to systemically important insurers, including corporate governance, risk management, and liquidity risk management standards.

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

Type: Law, Regulation and Policy

Peer: Capital Requirements for Supervised Institutions Significantly Engaged in Insurance Activities

Topics: Systemically important financial institutions (SIFIs), Corporate governance, Risk management, Liquidity risk and rules

Sectors: Insurance

Deadline for comments: Aug 2016

Operational Risk Management

OSFI final guideline sets out expectations for operational risk management by banks and insurers

Office of the Superintendent of Financial Institutions of Canada guideline contains four key principles for effective operational risk management: i) fully integrate operational risk management within the overall risk management program; ii) use operational risk management to support the overall corporate governance structure, including developing an operational risk appetite statement; iii) ensure effective accountability for operational risk management; and iv) ensure comprehensive identification and assessment of operational risk through use of appropriate management tools that among other things provides a mechanism for collecting and communicating relevant operational risk information within the firm and to supervisory authorities.

Publisher: National Regulators Release date: Jun 2016 Country: Canada

Type: Guideline

Topics: Operational risk, Risk management, Corporate governance

Sectors: Banking, Insurance, Pensions

The Impact of Climate Change on Central Banks

BoE discussion paper examines how climate change might affect central banks' ability to meet their objectives

Bank of England discussion paper looks at ways by which climate change and climate change mitigation policies might affect ability of central bank to meet monetary and financial stability objectives. Discusses two main risks: i) weather-related disaster could trigger financial and macroeconomic instability; and ii) sudden and unexpected tightening of carbon emission policies could lead to disorderly re-pricing of carbon-intensive assets.

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

Type: Consultative, discussion and issues paper

Topics: Stress-testing, Risk management, Climate change

Sectors: Banking

Markets in Financial Instruments Regulation - MiFID II

EU regulatory framework directly applicable in all EU member states

European Union regulatory framework directly applicable in all EU jurisdictions and not requiring transposition into national law.

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

Type: Law, Regulation and Policy

Peer: Markets in Financial Instruments Directive - MiFID II

Topics: Capital adequacy, Liquidity risk and rules, Corporate governance, Risk management, Transparency and disclosure, Systemically important financial institutions (SIFIs)

Sectors: Banking, Insurance, Pensions, Securities

Regulation in the Digital Financial Services Ecosystem

ITU report addresses key categories of DFS regulation requiring collaboration between financial and telecommunications regulators

International Telecommunications Union report provides a comprehensive listing of regulatory issues in the digital financial services (DFS) ecosystem that needed to be addressed by collaboration between financial sector and telecommunications regulators. Key categories include: i) agents; ii) consumer protection; iii) market access; iv) payment systems; v) risk management; and vi) other related issues. Addresses key issues related to managing the regulatory environment. Discusses how regulators currently work together.

Publisher: Others Release date: May 2016

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Transparency and disclosure, Risk management, Financial inclusion, FinTech

Sectors: Banking, Insurance

Cyber Security in Securities Markets

IOSCO consultation discusses regulatory approaches to cyber security and tools available to respond to cyber risk

International Organization of Securities Commissions discussion paper about regulatory approaches to cyber security. Covers key segments of securities markets, including issuers, trading venues, market intermediaries, asset managers and financial market infrastructures and addresses related regulatory issues, challenges and approaches. Also describes practices adopted by market participants. Report underscores issues and opportunities for cooperation and information sharing among market participants and regulators.

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

Type: Consultative, discussion and issues paper

Topics: Operational risk, Risk management, Cyber risk

Sectors: Securities

Risk Management Procedures for Non-Centrally Cleared OTC Derivatives

EBA, EIOPA and ESMA standard sets out framework of European Market Infrastructure Regulation

European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority final draft Regulatory Technical Standards (RTS) aim to increase safety of OTC derivatives markets in EU. Standards cover risk mitigation techniques related to exchange of collateral to cover exposures arising from non-centrally cleared over-the-counter (OTC) derivatives. Specify criteria concerning intragroup exemptions and definitions of practical and legal impediments to prompt transfer of funds between counterparties.

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

Type: Standard

Topics: Systemic risk, Risk management

Sectors: Banking, Insurance, Pensions, Securities

Actuarial Aspects of ERM for Insurance Companies

IAA discussion paper provides assistance to actuaries in relation to enterprise risk management

International Actuarial Association discussion paper assists actuaries and other practitioners to understand various elements of enterprise risk management (ERM) and areas for consideration.

Publisher: Industry Groups Release date: Jan 2016

Type: Consultative, discussion and issues paper

Topics: Actuarial, Accounting, actuarial and auditing , Risk management

Sectors: Insurance

Guidance on Credit Risk and Accounting for Expected Credit Losses

BCBS views on appropriate application of ECL accounting standards

Basel Committee on Banking Supervision guideline sets out supervisory guidance on sound credit risk practices associated with implementation and ongoing application of expected credit loss (ECL) accounting frameworks. This guidance, which should be viewed as complementary to accounting standards, presents the Committee's view of appropriate application of ECL accounting standards. It provides banks with supervisory guidance on how ECL accounting model should interact with a banks' overall credit risk practices and regulatory framework. Does not set out regulatory capital requirements on expected loss provisioning under the Basel capital framework.

Publisher: Global Standard-Setting Bodies Release date: Dec 2015

Type: Guideline

Peer: Implementation of IFRS 9 in Canada, Credit Risk Management Practices and Accounting for Expected Credit Losses

Topics: Credit risk, Risk management, Accounting, actuarial and auditing

Sectors: Banking

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Resources

382 records

Enhanced Prudential Standards for Systemically Important Insurance Companies

Operational Risk Management

The Impact of Climate Change on Central Banks

Markets in Financial Instruments Regulation - MiFID II

Regulation in the Digital Financial Services Ecosystem

Cyber Security in Securities Markets

Risk Management Procedures for Non-Centrally Cleared OTC Derivatives

Actuarial Aspects of ERM for Insurance Companies

Guidance on Credit Risk and Accounting for Expected Credit Losses

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