Risk-based supervision

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Risk-Based Supervision of Cross-Border Groups

Toronto Centre Note examines the issues involved in the supervision of cross border financial firms including conglomerates and sets out some principles that supervisors should follow when faced with such structures.

Publisher: Toronto Centre Release date: Dec 2021

Type: TC Notes

Topics: Risk-based supervision, Cross-border cooperation

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

Application Paper on Supervision of Control Functions

IAIS paper discusses issues related to supervision of control functions

International Association of Insurance Supervisors application paper describes practices aimed at helping supervisors to address issues related to the supervision of control functions as described in the Insurance Core Principles (ICP) and the Common Framework for the Supervision of Internationally Active Insurance Groups (ComFrame).

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

Type: Consultative, discussion and issues paper

Peer: Insurance Core Principles 8, 15 and 16

Topics: Supervisory framework, Risk-based supervision

Sectors: Insurance

Guidance for a Risk-Based Approach to Supervision

FATF guidance sets out risk-based approach to AML/CFT supervision

Financial Action Task Force non-binding guidance clarifies and explains how supervisors should apply a risk-based approach to their activities in line with FATF standards. The guidance identifies innovative practices that can help to improve the effectiveness of AML/CFT supervision and thus the overall AML/CFT system. It focuses on the general process by which a supervisor should allocate its resources and apply risk-appropriate tools to achieve effective AML/CFT supervision.

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

Type: Guideline

Topics: Risk-based supervision, Money laundering and terrorist financing

Sectors: Banking, Insurance, Pensions, Securities

Supervision of Money Laundering and Terrorist Financing

TC note on AML/CFT supervision

Toronto Centre Note provides guidance for the supervision of the implementation by financial institutions (FIs) of their obligations to implement measures to combat money laundering (ML) and terrorist financing (TF). It focuses on the actions to be taken by supervisors to ensure implementation of these obligations.

Publisher: Toronto Centre Release date: Oct 2020

Type: TC Notes

Topics: Money laundering and terrorist financing, Risk-based supervision

Sectors: Banking, Insurance, Securities

Risk-Based Supervision for Securities Supervisors (and Other Supervisors of Small Firms)

TC note to help securities supervisors to develop and implement a risk-based, forward-looking and proactive approach to supervision

Toronto Centre Note discusses the application of risk-based supervision to major securities firms; to stock exchanges and other financial market infrastructure; and to the responsibilities of securities supervisors with respect to listed firms and market abuse. It also develops a risk-based approach to small firms which individually may have low impact. The existence of large numbers of small firms is not unique to the securities sector, but it is more common in the securities sector.

Publisher: Toronto Centre Release date: Feb 2020

Type: TC Notes

Topics: Risk-based supervision

Sectors: Securities

Global Frameworks for Supervision of Internationally Active Insurance Groups and Mitigation of Systemic Risk in the Insurance Sector

IAIS comprehensive set of reforms to enable effective cross-border supervision of insurance groups

International Association of Insurance Supervisors reforms to enable effective cross-border supervision of insurance groups and contribute to global financial stability. Reforms include: i) the Common Framework (ComFrame); ii) Insurance Capital Standard (ICS); and iii) Holistic Framework for the assessment and mitigation of systemic risk in the insurance sector.

Publisher: Global Standard-Setting Bodies Release date: Nov 2019

Type: Standard

Topics: Systemic risk, Risk-based supervision, Capital adequacy, Systemically important financial institutions (SIFIs), Supervisory framework

Sectors: Insurance

Turning Risk Assessments Into Supervisory Actions

TC note sets out framework for turning risk assessments into firm-specific supervisory programs

Toronto Centre Note sets out a framework for turning risk assessments into firm-specific supervisory programs. Key considerations include: i) decisions about the risks that should be followed up; ii) choice of supervisory approach to be adopted within the firm; iii) identifying stages of intervention; iv) intensiveness with which remediation will be followed up and monitored; and v) processes surrounding significant changes to supervisory programs.

Publisher: Toronto Centre Release date: Aug 2019

Type: TC Notes

Peer: Risk-Based Supervision , Implementing Risk Based Supervision: A Guide for Senior Managers , The Development and Use of Risk Based Assessment Frameworks

Topics: Risk-based supervision

Sectors: Banking, Insurance, Pensions, Securities

The Development and Use of Risk Based Assessment Frameworks

TC Note provides detailed guidance on development and implementation of risk assessment frameworks

Toronto Centre note provides detailed guidance on the development of risk assessment frameworks and their implementation. Note uses a generic framework as its starting point and provides guidance for implementation and use which should be applicable to national versions of risk-based supervision (RBS) frameworks.

Publisher: Toronto Centre Release date: Jan 2019

Type: TC Notes

Peer: Risk-Based Supervision , Implementing Risk Based Supervision: A Guide for Senior Managers , Turning Risk Assessments Into Supervisory Actions

Topics: Risk-based supervision

Sectors: Banking, Insurance, Pensions, Securities

The Basel Framework in 100 Jurisdictions: Implementation Status and Proportionality Practices

FSI report sets out how authorities are implementing international standards in a proportionate manner

Financial Stability Institute report sets out current state of implementation of key Basel standards and outlines associated proportionality practices in 100 jurisdictions that are not members of the Basel Committee on Banking Supervision (BCBS). Report includes a range of proportionality practices applied in non-BCBS jurisdictions.

Publisher: Global Standard-Setting Bodies Release date: Oct 2018

Type: Consultative, discussion and issues paper

Topics: Risk-based supervision, Transparency and disclosure, Capital adequacy, Liquidity risk and rules, Market risk, Operational risk

Sectors: Banking

The Prudential Regulation Authority's Approach to Banking Supervision

PRA description of how it carries out its prudential regulatory role for deposit-takers and investment firms

UK Prudential Regulation Authority policy document meets PRA's statutory requirement to issue guidance on how it intends to advance its objectives. Communicates PRA's expectation to regulated firms and what they can expect from PRA in the course of supervision. Document: i) describes PRA's general statutory objective and its approach to advancing it; ii) outlines how it determines focus of its supervision in identifying key risks to its objective; iii) examines measures that it expects firms to have in place to ensure their businesses are run in a safe and sound manner; iv) sets out more detail on PRA's supervisory approach; and v) outlines PRA's approach to setting and communicating expectations of firms.

Publisher: National Regulators Release date: Oct 2018 Country: United Kingdom

Type: Law, Regulation and Policy

Topics: Supervisory framework, Risk-based supervision, Corporate governance, Capital adequacy, Liquidity risk and rules, Transparency and disclosure

Sectors: Banking, Securities

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Resources

382 records

Risk-Based Supervision of Cross-Border Groups

Application Paper on Supervision of Control Functions

Guidance for a Risk-Based Approach to Supervision

Supervision of Money Laundering and Terrorist Financing

Risk-Based Supervision for Securities Supervisors (and Other Supervisors of Small Firms)

Global Frameworks for Supervision of Internationally Active Insurance Groups and Mitigation of Systemic Risk in the Insurance Sector

Turning Risk Assessments Into Supervisory Actions

The Development and Use of Risk Based Assessment Frameworks

The Basel Framework in 100 Jurisdictions: Implementation Status and Proportionality Practices

The Prudential Regulation Authority's Approach to Banking Supervision

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