Supervisory framework

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Pillar 2 and Beyond: Issues for Supervisors in Implementing Basel II and Basel III

TC Note discusses issues for supervisors in implementing Basel II and Basel III

Toronto Centre Note focuses on the main supervisory issues arising from the implementation of Basel II or Basel III. It offers guidance on the choices that supervisors need to make about supervisory intensity and proportionality, Pillar 2, model approval, impact assessment, and resourcing.

Publisher: Toronto Centre Release date: Jun 2020

Type: TC Notes

Topics: Supervisory framework, Liquidity risk and rules

Sectors: Banking

Supervisory Challenges During and After a Crisis

TC webcast on supervisory challenges during and after a crisis

Toronto Centre webcast highlights some of the supervisory challenges during and after a very peculiar crisis such as COVID-19, and what financial supervisors and regulators should focus on as they operate in this new normal.

Publisher: Toronto Centre Release date: May 2020

Type: TC Videos

Topics: Crisis management and contingency planning, Supervisory framework

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

Strengthening Individual Accountability in Banking

PRA sets out how firms and individuals should comply with its Senior Managers Regime

UK Prudential Regulation Authority supervisory statement sets out the PRA's expectations of how firms should comply with the regulatory framework of: i) the Senior Managers Regime (SMR); ii) the Certification Regime; iii) assessment of fitness and propriety; and iv) Conduct Rules.

Publisher: National Regulators Release date: Feb 2020 Country: United Kingdom

Type: Supervisory Practice

Topics: Supervisory framework, Corporate governance

Sectors: Banking, 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

From Basel I to Basel III

IMF working paper discusses sequencing implementation in developing economies

International Monetary Fund working paper provides guidance on how non-Basel Committee member countries could incorporate banks' capital and liquidity standards into their framework.

Publisher: International Organizations Release date: Jun 2019

Type: Consultative, discussion and issues paper

Topics: Capital adequacy, Liquidity risk and rules, Supervisory framework

Sectors: Banking

Proportionality in Bank Regulation and Supervision

Results of BCBS survey of current practices

Basel Committee on Banking Supervision survey sets out how other countries are implementing the Basel Committee standards.

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

Type: Consultative, discussion and issues paper

Topics: Supervisory framework, Transparency and disclosure, Consumer education and protection

Sectors: Banking

Framework for Assessing Conduct Risk Through the Product Lifecycle

EIOPA framework for supervising retail conduct risk

European Insurance and Occupational Pensions Authority framework clarifies drivers of conduct risk and their implications in the emergence of consumer detriment. Provides an aid for understanding issues faced by consumer and input on the types of conduct risks EIOPA and the national competent authorities should focus on.

Publisher: Regional Standard-Setting Bodies Release date: Feb 2019

Type: Consultative, discussion and issues paper

Topics: Supervisory framework, Consumer education and protection

Sectors: Insurance, Pensions

Sustainable Development and Finance

TC fireside chat held in honour of its 20th anniversary

Toronto Centre fireside chat discusses: i) preparing for the next global financial crisis; ii) international rules based on global order; iii) closing the gender gap; and iv) advancing sustainable development.

Publisher: Toronto Centre Release date: Nov 2018

Type: TC Videos

Topics: Financial inclusion, Gender equality, Supervisory framework

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

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

A Community Bank Director's Guide to Corporate Governance

How the FDIC Pocket Guide for Directors applies to small banks

Federal Deposit Insurance Corporation special corporate governance edition of its Supervisory Insights series addresses how its Pocket Guide for Directors and other guidance relates to corporate governance and strategic planning at smaller, simpler banks. Discusses key governance concepts, roles, and responsibilities of directors and senior management at such banks, and discusses how FDIC examiners evaluate governance at those banks. A list of resources, with links to regulations, guidance, and training materials, is included.

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

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Supervisory framework

Sectors: Banking

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Resources

382 records

Pillar 2 and Beyond: Issues for Supervisors in Implementing Basel II and Basel III

Supervisory Challenges During and After a Crisis

Strengthening Individual Accountability in Banking

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

From Basel I to Basel III

Proportionality in Bank Regulation and Supervision

Framework for Assessing Conduct Risk Through the Product Lifecycle

Sustainable Development and Finance

The Prudential Regulation Authority's Approach to Banking Supervision

A Community Bank Director's Guide to Corporate Governance

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