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Navigating the Risk-Based Supervision Process

Deloitte report on Bank of India's new risk-based supervision process

Deloitte Touche Tohmatsu Limited report examines Bank of India's revamped risk-based supervision process. Provides a perspective on the holistic approach banks can take to integrate the supervisory process with the internal control systems and internal capital adequacy assessment processes.

Publisher: Others     Release date: Jan 2014     Country: India

Type: Consultative, discussion and issues paper

Topics: Risk-based supervision, Corporate governance, Supervisory framework

Sectors: Banking

Guide for Senior Executives

Companion to MAS Framework for Impact and Risk Assessment of Financial Institutions

Monetary Authority of Singapore guide for boards and senior managers. Provides detailed information on MAS risk-based supervision of financial institutions. Covers how MAS supervisory objectives and principles shape its supervisory framework, and the supervisory processes that underpin the framework, including how MAS assesses the impact of financial institutions and the use of the Comprehensive Risk Assessment Framework and Techniques (CRAFT) to assess their risks.

Publisher: National Regulators     Release date: Mar 2013     Country: Singapore

Type: Guideline

Topics: Risk-based supervision, Supervisory framework

Sectors: Banking, Insurance, Securities

HKMA Supervisory Policy - Supervisory Review Process

HKMA policy for supervisory review of bank capital adequacy

Hong Kong Monetary Authority policy sets out its approach to the supervisory review process under Pillar 2 of the Basel capital framework, including criteria and standards used for evaluating bank capital adequacy and the effectiveness of bank's capital adequacy assessment process, for purposes of determining its minimum capital adequacy ratio. Describes how framework for determining any additional capital that a bank should hold will operate under the capital adequacy framework.

Publisher: National Regulators     Release date: Dec 2012     Country: Hong Kong, China

Type: Law, Regulation and Policy

Peer: HKMA Supervisory Policy - Stress-Testing, HKMA Supervisory Policy - Overview of Capital Adequacy Regime for Locally Incorporated Authorized Institutions, Bank Culture Reform

Topics: Capital adequacy, Stress-testing, Risk-based supervision, Supervisory framework, Contingency planning

Sectors: Banking

Structure of Pension Supervisory Authorities and their Approaches to Risk-Based Supervision

IOPS paper examines effect of global financial crisis on risk-based supervision

International Organisation of Pension Supervisors working paper looks at effect of global financial crisis on pension supervision. Examines potential impact on structure of pension supervisory authorities. The crisis increased implementation of risk-based supervision or prompted review of risk-based approaches to strengthen risk identification methodologies. 

Publisher: Global Standard-Setting Bodies     Release date: Jul 2012    

Type: Consultative, discussion and issues paper

Topics: Risk-based supervision, Supervisory framework, Supervisory structures

Sectors: Pensions

Introduction to Risk-based Supervision

IOPS guideline sets out definition of and reasons for adopting RBS

International Organization of Pension Supervisors guideline from IOPS Toolkit for Risk-based Supervision (RBS). Sets out definition of risk-based supervision and why and how it should be applied. Summarizes IOPS members' experience when introducing RBS, outlines challenges they encountered (from gathering the right information, to how to look at systemic as well as individual pension fund risk, to changing the culture of supervisory authority), and lessons learned. 

Publisher: Global Standard-Setting Bodies     Release date: Feb 2011    

Type: Guideline

Peer: Preparation for Risk-Based Supervision, Quantitative Risk Assessment Tools, Identifying Risks , Risk Mitigants and Risk Scoring , Supervisory Response

Topics: Risk-based supervision

Sectors: Pensions

Preparation for Risk-Based Supervision

IOPS module 1 guideline sets out foundational issues of RBS

International Organization of Pension Supervisors guideline from IOPS Toolkit for Risk-based Supervision (RBS). Module 1 outlines issues to be considered before implementing RBS, notably relating to legislative environment and readiness of pension supervisory authority and pension industry. Includes questionnaires to assess preparedness and identify critical path for implementation and pace at which RBS can be rolled out. 

Publisher: Global Standard-Setting Bodies     Release date: Feb 2011    

Type: Guideline

Peer: Introduction to Risk-based Supervision, Quantitative Risk Assessment Tools, Identifying Risks , Risk Mitigants and Risk Scoring , Supervisory Response

Topics: Risk-based supervision, Supervisory framework

Sectors: Pensions

Quantitative Risk Assessment Tools

IOPS module 2 guideline for measuring risk in defined benefit and defined contribution pension funds

International Organization of Pension Supervisors guideline from IOPS Toolkit for Risk-based Supervisors (RBS). Module 2 examines tools to be used by a pension supervisory authority in quantitative assessment of risk. Guideline reviews: i) quantitative regulatory requirements that provide foundation for quantitative assessment of risk; ii) techniques for quantitative assessment of risk; and iii) integrating quantitative tools into risk assessments. 

Publisher: Global Standard-Setting Bodies     Release date: Feb 2011    

Type: Guideline

Peer: Introduction to Risk-based Supervision, Preparation for Risk-Based Supervision, Identifying Risks , Risk Mitigants and Risk Scoring , Supervisory Response

Topics: Risk-based supervision, Supervisory framework, Risk quantification

Sectors: Pensions

Identifying Risks

IOPS Module 3 guideline examines individual entity risk focus, factors and indicators, and systemic rick

International Organization of Pension Supervisors guideline from IOPS Toolkit for Risk-based Supervision (RBS). Module 3 assists supervisory authorities to appropriately identify risks in the context of the authorities' objectives and resources. 

Publisher: Global Standard-Setting Bodies     Release date: Feb 2011    

Type: Guideline

Peer: Introduction to Risk-based Supervision, Preparation for Risk-Based Supervision, Quantitative Risk Assessment Tools, Risk Mitigants and Risk Scoring , Supervisory Response

Topics: Risk-based supervision, Supervisory framework

Sectors: Pensions

Supervisory Response

IOPS Module 5 guideline examines supervisory response matrix, communicating risk assessments and escalation of supervisory response

International Organisation of Pension Supervisors guideline from IOPS Toolkit for Risk-based Supervision (RBS). Module 5 provides guidance about how to devise a response matrix to help determine and organize supervisory action. Discusses: i) supervisory response matrix and examines responses to individual entity risks and systemic risks; ii) communication of risk assessments, including whether and how much to disclose; and iii) escalation of supervisory response. 

Publisher: Global Standard-Setting Bodies     Release date: Feb 2011    

Type: Guideline

Peer: Introduction to Risk-based Supervision, Preparation for Risk-Based Supervision, Quantitative Risk Assessment Tools, Identifying Risks , Risk Mitigants and Risk Scoring

Topics: Risk-based supervision, Supervisory framework

Sectors: Pensions

Supervisory Framework

Update to OSFI's overall supervisory framework

Office of the Superintendent of Financial Institutions of Canada updated supervisory framework describing principles, concepts and core process that OSFI uses to guide its supervision of regulated firms. Accommodates unique aspects of deposit-taking, life insurance, and property and casualty insurance sectors. Reflects significant developments in financial services industry that have changed the nature of risks and risk management of financial institutions.

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

Type: Supervisory Practice

Peer: Composite Risk Rating and Assessment Criteria

Topics: Supervisory framework, Risk-based supervision

Sectors: Banking, Insurance

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