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IOPS Principles of Private Pension Supervision

IOPS principles covering necessary requirements for an effective pension supervisory regime

International Organization of Pension Supervisors principles designed to cover occupational and personal pension plans and/or pension funds. Outlines 10 main areas for effective pension supervision: i) objectives; ii) independence; iii) adequate resources; iv) adequate powers; v) risk-based supervision; vi) proportionality and consistency; vii) consultation and cooperation; viii) confidentiality; ix) transparency; and x) governance.

Publisher: Global Standard-Setting Bodies     Release date: Nov 2010    

Type: Guideline

Peer: Methodology for Review of Supervisory Systems Using IOPS Principles, Good Practices on Consumer Protection Related to Private Pension Systems

Topics: Transparency and disclosure, Corporate governance, Risk-based supervision, Pension and retirement plans

Sectors: Pensions

Methodology for Review of Supervisory Systems Using IOPS Principles

Assessment methodology for the IOPS Principles of Private Pension Supervision

International Organization of Pension Supervisors paper outlining methodology used for 2010 study IOPS Principles of Private Pension Supervision. Provides a structured means of assessing extent to which a pensions supervisory authority complies with letter and spirit of Principles. Translates text supporting each Principle into key considerations to be taken into account in making the assessment along with a series of specific questions. Considerations and questions have been informed by IOPS work on good governance in pension supervisory authorities, by OECD/IOPS Guidelines on Licensing of Pension Entities and by IOPS Working Paper on the Implementation of Risk-based Supervision.

Publisher: Global Standard-Setting Bodies     Release date: Oct 2010    

Type: Standard

Parent: IOPS Principles of Private Pension Supervision

Topics: Compliance function, Transparency and disclosure, Risk-based supervision

Sectors: Pensions

Internal Capital Adequacy Assessment Process

OSFI guidelines on expectations for an institution’s internal capital adequacy assessment process (ICAAP)

Office of the Superintendent of Financial Institutions of Canada guidelines defining the scope of an ICAAP and its relationship to banks' risk management programs and OSFI's overall supervisory process, including its assessment of capital adequacy.

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

Type: Guideline

Topics: Capital adequacy, Risk management, Risk-based supervision

Sectors: Banking

Risk-Based AML/CFT Approach for the Insurance Sector

FATF guideline on risk-based approach to anti-money laundering/combatting the financing of terrorism in the insurance sector

Financial Action Task Force guidance: i) supports development of a common understanding of what the risk-based approach involves; ii) outlines high-level principles involved in applying the risk-based approach; iii) identifies characteristics of risks indicating that enhanced mitigation strategies may be warranted; iv) describes good public and private sector practice in the design and implementation of an effective risk-based approach; and v) fosters communications between public and private sectors that are conducive to the prevention of money laundering and terrorist financing. 

Release date: Oct 2009    

Type: Guideline

Peer: National Money Laundering and Terrorist Financing Risk Assessment, Anti-Money Laundering and Terrorist Financing Measures and Financial Inclusion

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

Sectors: Insurance

Risk Based Supervision

Primer for insurance supervisors on risk based supervision

Guidance for the implementation of risk based supervision of insurer's governance and risk management. Issue 14 of World Bank's Primer Series on Insurance.

Publisher: International Organizations     Release date: Aug 2009    

Type: Guideline

Topics: Risk-based supervision, Risk management

Sectors: Insurance

Risk-Based Market Conduct Regulation

CCIR monograph on a risk-based approach to applying market conduct regulation

Canadian Council of Insurance Regulators defines market conduct and risk-based market conduct regulation, describes outcomes intended to be achieved, suggests the benefits of a risk-based approach, and identifies key principles to underpin risk-based market conduct regulation.

Publisher: Subnational Regulators     Release date: Oct 2008     Country: Canada

Type: Implementation

Topics: Conduct, Risk-based supervision

Sectors: Insurance

HKMA Supervisory Policy - Outsourcing

HKMA guideline on its supervisory approach to outsourcing

Hong Kong Monetary Authority guideline for banks to follow when outsourcing services domestically or overseas. Addresses nine major concerns: i) accountability; ii) risk assessment; iii) ability of service providers; iv) outsourcing agreement; v) customer data confidentiality; vi) control over outsourced activities; vii) contingency planning; viii) access to outsourced data; and ix) additional concerns in relation to overseas outsourcing.

Publisher: National Regulators     Release date: Dec 2001     Country: Hong Kong, China

Type: Guideline

Peer: HKMA Supervisory Policy - Risk-Based Supervisory Approach

Topics: Supervisory framework, Risk-based supervision

Sectors: Banking

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