Supervisory framework

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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

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

Peer: UK Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)

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

Sectors: Banking, Securities

The Prudential Regulation Authority's Approach to Insurance Supervision

PRA description of how it carries out its prudential regulatory role for insurers

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 insurers and what they can expect from PRA in the course of supervision. Document: i) describes PRA's statutory objectives and its approach to advancing them; ii) outlines how it determines focus of its supervision in identifying key risks to its primary objectives; iii) examines measures that it expects insurers to have in place to ensure their businesses are run in a safe and sound manner; iv) details PRA's supervisory approach; and v) outlines PRA's approach to setting and communicating expectations of insurers.

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

Type: Law, Regulation and Policy

Peer: Financial Management and Planning by Insurers

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

Sectors: Insurance

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

Guide to On-Site Inspections and Internal Model Investigations

Guide sets out how ECB conducts inspections

European Central Bank guide describes the inspection process, from the decision to launch the inspection to the follow-up stage and sets out best practices to foster cooperation between entities being inspected and inspection teams.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2018

Type: Guideline

Topics: Supervisory framework

Sectors: Banking

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: Jul 2018 Country: United Kingdom

Type: Supervisory Practice

Topics: Supervisory framework, Corporate governance

Sectors: Banking, Securities

Extending the Senior Managers & Certification Regime to FCA Firms

FCA consultation to extend the Senior Managers & Certification Regime to most regulated firms

UK Financial Conduct Authority policy statement reports on main issues arising from consultations to strengthen individual accountability in regulated firms by extending the Senior Managers & Certification Regime (SM&CR) to almost all regulated firms in order to reduce harm to consumers and increase accountability. Also incorporates near-final rules.

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

Type: Consultative, discussion and issues paper

Parent: FCA's Senior Managers Regime

Topics: Supervisory framework, Corporate governance, Conduct

Sectors: Banking, Insurance, Pensions, Securities

The Post-Crisis Challenges Facing Supervisors

TC note discusses how emerging markets can approach the implementation of post-crisis and other regulatory reforms

Toronto Centre Note discusses how emerging markets can approach implementation of recent regulatory reforms. Considers the challenges for supervisors stemming from more wide-ranging, robust and complex regulatory requirements, provides an overview of emerging risks and supervisory responses, and discusses the importance of supervisory cooperation. Identifies key challenges as: i) proportionate implementation of reforms; ii) tailoring regulation and supervision to emerging market economies; iii) maintaining a focus on fundamental issues such as credit and insurance underwriting risks; and iv) assessing emerging risks such as those arising from FinTech and cyber security.

Publisher: Toronto Centre Release date: Jul 2018

Type: TC Notes

Topics: Systemically important financial institutions (SIFIs), Cross-border cooperation, Risk-based supervision, Supervisory framework, FinTech

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

Innovative Technology in Financial Supervision (Suptech): The Experience of Early Users

FSI guidance for supervisory agencies on developing a strategy to realize the potential benefits of SupTech

Financial Stability Institute guidance outlines the experiences of early users and highlights specific considerations to develop a SupTech strategy for supervisory agencies. Sets out challenges to supervisory agencies when developing or using SupTech applications: i) increased operational risks (cyber risk, data quality, and finding the right talent); ii) computational capacity constraints; iii) management support; and iv) buy-in from supervision units. This paper outlines the experiences of early users and highlights specific considerations to develop a SupTech strategy for supervisory agencies to take advantage of these developments.

Publisher: International Organizations Release date: Jul 2018

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Financial market infrastructure, Supervisory framework, Supervisory structures, FinTech

Sectors: Banking, Insurance, Pensions, Securities

SupTech: Leveraging Technology for Better Supervision

TC note explains SupTech and its potential

Toronto Centre note discusses how, by leveraging technology, supervisors can improve the efficiency and effectiveness of their work, with a focus on data collection, data analytics and digitization of processes and working tools. Provides examples of current uses of SupTech and uses that are being tested. Discusses the challenges and risks of embracing SupTech.

Publisher: Toronto Centre Release date: Jun 2018

Type: TC Notes

Peer: Regulatory Sandboxes , FinTech, RegTech and SupTech: What They Mean for Financial Supervision , FinTech, RegTech and SupTech: What They Mean for FInancial Supervision

Topics: Financial inclusion, Financial market infrastructure, Supervisory framework, Supervisory structures, FinTech

Sectors: Banking, Insurance, Pensions, Securities

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Resources

382 records

Framework for Assessing Conduct Risk Through the Product Lifecycle

The Prudential Regulation Authority's Approach to Banking Supervision

The Prudential Regulation Authority's Approach to Insurance Supervision

A Community Bank Director's Guide to Corporate Governance

Guide to On-Site Inspections and Internal Model Investigations

Strengthening Individual Accountability in Banking

Extending the Senior Managers & Certification Regime to FCA Firms

The Post-Crisis Challenges Facing Supervisors

Innovative Technology in Financial Supervision (Suptech): The Experience of Early Users

SupTech: Leveraging Technology for Better Supervision

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