Supervisory framework

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Enterprise Risk Management for Insurers

TC note provides broad overview of enterprise risk management from supervisory perspective

Toronto Centre note explains the nature of effective enterprise risk management (ERM) and its role as a critical pillar of corporate governance, and how ERM should be supervised. Supervision of ERM management is a key component of a risk-based supervision framework. Effective supervision of ERM allows supervisors to adopt a principles-based approach.

Publisher: Toronto Centre Release date: Oct 2015

Type: TC Notes

Topics: Risk management, Corporate governance, Supervisory framework

Sectors: Insurance

A Brief History of the Basel Committee

BCBS overview of Basel I, II and III

Basel Committee on Banking Supervision brief history discusses origins of BCBS. Cites background and accomplishments of Basel I, Basel II and Basel III.

Publisher: Global Standard-Setting Bodies Release date: Oct 2015

Type: Consultative, discussion and issues paper

Peer: Basel III Regulatory Framework for Banks, Basel II: International Convergence of Capital Measurement and Capital Standards: A Revised Framework

Topics: Supervisory framework

Sectors: Banking

Increasing Investor and Shareholder Engagement

TC note provides overview of how supervisors can create plans to maximize investor and shareholder engagement

Toronto Centre note outlines method for supervisors to engage with investors and shareholders: i) assess challenge; ii) develop solution; iii) develop detailed project plan: iv) determine resources; v) define timing and preconditions; vi) evaluate plan; and vii) prepare contingency plan.

Publisher: Toronto Centre Release date: Oct 2015

Type: TC Notes

Topics: Supervisory framework

Sectors: Securities

Effective Supervision and Enforcement by AML/CFT Supervisors of the Financial Sector and Law Enforcement

FATF guidance on effective supervisory systems for anti-money laundering and countering financing of terrorism compliance

Financial Action Task Force guidance describes attributes of effective supervision by regulators and supervisors. Clarifies interplay with role of law enforcement agencies. Practices described are intended as examples of measures and means that relevant supervisors may use to meet requirements of FATF Recommendations.

Publisher: Global Standard-Setting Bodies Release date: Oct 2015

Type: Guideline

Peer: Correspondent Banking Services

Topics: Risk-based supervision, Money laundering and terrorist financing, Supervisory framework

Sectors: Banking, Insurance

Objectives and Principles of Financial Supervision in Singapore

Statement of MAS objectives, functions and principles of supervision

Monetary Authority of Singapore policy statement on supervisory aspects of its mandate to promote a sound and progressive financial services sector. Sets out MAS’ objectives or desired outcomes of supervision, the functions it performs directly or facilitates to achieve these outcomes, and the principles that guide its supervisory approach.

Publisher: National Regulators Release date: Sep 2015 Country: Singapore

Type: Law, Regulation and Policy

Peer: Supervision of Financial Market Infrastructures in Singapore

Topics: Supervisory framework, Risk-based supervision

Sectors: Banking, Insurance, Securities

Tenets of Effective Regulation

MAS description of the Tenets underlying its regulatory framework

Monetary Authority of Singapore monograph addressing the development and review of the regulatory framework in Singapore. Describes six guiding Tenets: i) outcome focused; ii) shared responsibility; iii) risk appropriate; iv) responsive to change and cycles; v) impact sensitive; and vi) clear and consistent.

Publisher: National Regulators Release date: Sep 2015 Country: Singapore

Type: Consultative, discussion and issues paper

Peer: Supervision of Financial Market Infrastructures in Singapore

Topics: Supervisory framework, Risk-based supervision

Sectors: Banking, Insurance, Securities

Cross-Border Regulation of Securities Markets

IOSCO report describes three tools commonly used by its members to regulate cross-border securities market activities

International Organization of Securities Commissions report analyzes three cross-border regulatory tools; i) national treatment; ii) recognition; and iii) passporting. Under national treatment, the domestic regulator treats foreign persons, entities and products in the same manner as domestic ones. Under recognition, the domestic regulator permits activities of persons or entities from recognized foreign jurisdictions to take place. Passporting permits market access between the jurisdictions covered by the passporting arrangement based on a common set of rules. Provides supporting case studies, a description of the processes used to assess comparability of foreign regulatory regimes, and considerations on how to apply the toolkit under different national circumstances.

Publisher: Global Standard-Setting Bodies Release date: Aug 2015

Type: Consultative, discussion and issues paper

Topics: Cross-border cooperation, Supervisory framework, Conduct, Systemic risk

Sectors: Securities

Progress Report on the Implementation of Principles for Effective Supervisory Colleges

BCBS report highlights findings of implementation monitoring and provides examples on ways to meet commonly encountered challenges

Basel Committee on Banking Supervision progress report based on case studies of 13 colleges from home and host supervisor perspective. Addresses objectives, structures, information sharing, communications channels, collaborative work, interaction with institutions and crisis preparedness. Provides examples of practical approaches followed by supervisors to address key challenges.

Publisher: Global Standard-Setting Bodies Release date: Jul 2015

Type: Implementation

Parent: Principles for Effective Supervisory Colleges

Peer: Progress Report on the Implementation of Principles for Effective Supervisory Colleges

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

Sectors: Banking

Report on the Impact and Accountability of Banking Supervision

BCBS survey on how supervisors define and evaluate impact of their policies and actions, manage against that impact, and account for it to external stakeholders

Basel Committee on Banking Supervision range of practice survey on the effectiveness of supervision, a necessary complement to steps to strengthen regulation such as under Basel III. Identifies the wide variety of objectives, performance indicators and practices with respect to accountability among different jurisdictions.The report does not seek to assess the effectiveness of different supervisory agencies or their supervisory processes.

Publisher: Global Standard-Setting Bodies Release date: Jul 2015

Type: Sound Practice

Topics: Supervisory framework

Sectors: Banking

Templates and Structure of Disclosure of Specific Information by Supervisory Authorities

EIOPA technical standards for supervisory transparency and accountability under Pillar 2 of Solvency II

European Insurance and Occupational Pensions Authority technical standards addressed to supervisory authorities to support transparency regarding their supervisory activities. Addresses disclosure of information on: i) laws, regulations, administrative rules and general guidance; ii) supervisory review processes; iii) aggregate statistical data; iv) supervisory authorities' exercise of options available under the Solvency II Directive; and v) supervisory objectives, functions and activities. The proposed standards are pending European Commission endorsement or revision.

Publisher: Regional Standard-Setting Bodies Release date: Jun 2015

Type: Standard

Parent: Taking-up and Pursuit of the Business of Insurance and Reinsurance (Solvency II)

Peer: Capital Add-Ons, Procedures for Assessing External Credit Assessments

Topics: Transparency and disclosure, Supervisory framework

Sectors: Insurance, Pensions

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Resources

382 records

Enterprise Risk Management for Insurers

A Brief History of the Basel Committee

Increasing Investor and Shareholder Engagement

Effective Supervision and Enforcement by AML/CFT Supervisors of the Financial Sector and Law Enforcement

Objectives and Principles of Financial Supervision in Singapore

Tenets of Effective Regulation

Cross-Border Regulation of Securities Markets

Progress Report on the Implementation of Principles for Effective Supervisory Colleges

Report on the Impact and Accountability of Banking Supervision

Templates and Structure of Disclosure of Specific Information by Supervisory Authorities

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