Supervisory framework

382 records

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Principles-Based Approach to Regulation

TC podcast about FSCO's principles-based approach to regulation

Toronto Centre podcast discusses the Financial Services Regulatory Authority of Ontario's principles-based approach to regulation as well as collaboration and cooperation among regulators.

Publisher: Toronto Centre Release date: Jul 2021

Type: TC Videos

Topics: Supervisory framework

Sectors: 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

Coming Out of the Pandemic: Regulatory Expectations of Supervised Banks

TC podcast on the importance of sticking to the basics of effective financial supervision

Toronto Centre podcast reviews the importance of "sticking to the basics" of effective financial supervision.

Publisher: Toronto Centre Release date: Apr 2021

Type: TC Videos

Topics: Supervisory framework

Sectors: Banking

IAIS 2021-2022 Roadmap

IAIS work plan for the period from 2021 to 2022

International Association of Insurance Supervisors roadmap for 2021-2022 focuses on assessing and mitigating risks to the stability of the global insurance sector.

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

Type: Consultative, discussion and issues paper

Topics: Supervisory framework

Sectors: Insurance

PRA's Senior Managers Regime

Management responsibility map for senior staff of the PRA

UK Prudential Regulation Authority publication sets out how it applies its Senior Managers Regime applicable to regulated firms to the PRA itself. The Responsibilities Map describes the PRA's management and governance arrangements and shows how responsibilities have been allocated.

Publisher: National Regulators Release date: Feb 2021 Country: United Kingdom

Type: Standard

Peer: FCA's Senior Managers Regime , Strengthening Accountability in Banking

Topics: Supervisory framework, Corporate governance

Sectors: Banking, Insurance

Supervising the New Normal: On-Site Supervision - Early Lessons and Challenges Ahead

TC webcast discusses experiences with on-site supervision

TC webcast discusses experiences with on-site supervision.

Release date: Dec 2020

Type: TC Videos

Topics: COVID-19, 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: Dec 2020 Country: United Kingdom

Type: Supervisory Practice

Topics: Supervisory framework, Corporate governance

Sectors: Banking, Securities

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, COVID-19

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

Bank Act

Bank Act of Canada

The Bank Act of Canada. Current to February 24, 2021.

Publisher: National Government Release date: May 2020 Country: Canada

Type: Law, Regulation and Policy

Topics: Supervisory framework

Sectors: Banking

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Resources

382 records

Principles-Based Approach to Regulation

Application Paper on Supervision of Control Functions

Coming Out of the Pandemic: Regulatory Expectations of Supervised Banks

IAIS 2021-2022 Roadmap

PRA's Senior Managers Regime

Supervising the New Normal: On-Site Supervision - Early Lessons and Challenges Ahead

Strengthening Individual Accountability in Banking

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

Supervisory Challenges During and After a Crisis

Bank Act

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