Supervisory structures

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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

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

Sectors: Banking, Insurance, Pensions, Securities

FinTech, RegTech and SupTech: What They Mean for FInancial Supervision

TC webinar discusses issues relating to technology and supervision

Toronto Centre webinar discusses: i) ongoing FinTech revolution that is reshaping the financial services industry; ii) how FinTech, RegTech and SupTech have been developing, and how financial supervision and risk management are, in turn, being transformed; iii) key technologies and their potential uses in RegTech and SupTech; and iv) how key technologies could help improve supervision and allow new supervisory approaches.

Publisher: Toronto Centre Release date: Feb 2018

Type: TC Videos

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

Sectors: Banking, Insurance, Securities

FinTech, RegTech and SupTech: What They Mean for Financial Supervision

TC note provides an introduction to FinTech, RegTech and SupTech

Toronto Centre note provides introduction for financial authorities to better understand: i) context in which FinTech, RegTech and SupTech have been developing; ii) potential consequences of FinTech for financial supervision; iii) what RegTech means and how it could help financial supervision; iv) what SupTech means and how it could help improve supervision; v) emerging shift in supervisory approaches driven by RegTech and SupTech; and vi) initiatives to foster sound and effective FinTech, RegTech and SupTech.

Publisher: Toronto Centre Release date: Aug 2017

Type: TC Notes

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

Sectors: Banking, Insurance, Securities

Organizational Alternatives for Supervisors

TC note provides advice for supervisors when examining suitability of organizational alternatives

Toronto Centre note helps supervisors make appropriate choices when considering the suitability of supervisory agency organizational alternatives in context of their particular circumstances. Discusses role that supervisory objectives and international standards might play when considering organizational alternatives.

Publisher: Toronto Centre Release date: Jan 2016

Type: TC Notes

Topics: Supervisory framework, Supervisory structures

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

Flagship Report on Macro-prudential Policy in the Banking Sector

ESRB report on new EU macro-prudential policy framework

European Systemic Risk Board status report on new macroprudential policy framework in the European Union. A common legal framework for macro-prudential policy across the EU is emerging. However, the application of macro-prudential policy is still in its infancy. Much of the analytical framework has yet to be developed.

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

Type: Implementation

Peer: The ESRB Handbook on Operationalizing Macroprudential Policy in the Banking Sector

Topics: Macroprudential, Systemic risk, Supervisory structures

Sectors: Banking

Range of Practice in the Regulation and Supervision of Institutions Relevant to Financial Inclusion

Findings of BCBS survey on evolution of supervisory and regulatory practices in response to developments in delivery of financial services to lower-income customers

Basel Committee on Banking Supervision analysis and summary of a 2013 Range of Practice Survey of over 50 member and non-member jurisdictions on current regulatory and supervisory approaches towards financial institutions and activities that are relevant to financial inclusion. Intended to provide a snapshot of how some banking supervisors are responding to the rapidly evolving financial inclusion landscape. The results of the survey will serve as background to subsequent work towards developing BCBS guidance on taking financial inclusion into account when implementing the 2012 Core Principles.

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

Type: Sound Practice

Peer: Guidance on the Application of the Basel Core Principles for Institutions Relevant to Financial Inclusion, Core Principles for Effective Banking Supervision

Topics: Supervisory framework, Supervisory structures, Consumer education and protection, Market risk

Sectors: Banking, Microfinance

Establishing a Financial Consumer Protection Supervision Department

WB note sets out key observations and lessons learned in five case study countries

World Bank technical note to assist policymakers and regulators seeking to establish a financial consumer protection supervision department within a financial regulatory body. Covers key aspects of the design process: supervisory agenda, organizational structure, supervisory activities, relationship with prudential supervision, and staffing needs.

Publisher: International Organizations Release date: Mar 2014

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Supervisory structures

Sectors: Banking, Insurance, Pensions, Securities

Financial Stability Objectives and Arrangements – What’s New?

BIS paper on the role of central banks in financial stability

Bank for International Settlements paper surveys issues relating to setting financial stability mandates in law and examines recent changes to financial stability arrangements involving central banks. Changes in the role of central banks may affect the suitability of their governance arrangements. Immediate challenges are: i) difficulty of specifying a mandate for financial stability; ii) ensuring any financial stability mandate is consistent with other mandate(s) of the central bank; and iii) need to design structures to operationalize the mandate.

Publisher: International Organizations Release date: Jan 2014

Type: Consultative, discussion and issues paper

Topics: Supervisory structures, Macroprudential

Sectors: Banking

A Guide to Regulation and Supervision of Microfinance

CGAP Consensus Guidelines addressing regulatory and supervisory issues relevant to formal financial services for poor people.

Focuses on the specifics of microfinance regulation and supervision. Addresses issues and principles applicable to financial sector regulation and supervision more generally only when necessary to understand the specifics of regulating and supervising microfinance. Focuses on for-profit and nonprofit private actors. Does not address issues specific to state-owned or state-controlled institutions, and savings banks, that also serve poor people, although most of the general principles apply to state institutions and to both state-owned and privately owned savings banks.

Publisher: International Organizations Release date: Sep 2012

Type: Guideline

Topics: Supervisory framework, Supervisory structures, Capital adequacy, Risk management, Corporate governance

Sectors: Microfinance, Microinsurance, Banking

Display # Page 1 of 2 Total: 17

Resources

382 records

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

SupTech: Leveraging Technology for Better Supervision

FinTech, RegTech and SupTech: What They Mean for FInancial Supervision

FinTech, RegTech and SupTech: What They Mean for Financial Supervision

Organizational Alternatives for Supervisors

Flagship Report on Macro-prudential Policy in the Banking Sector

Range of Practice in the Regulation and Supervision of Institutions Relevant to Financial Inclusion

Establishing a Financial Consumer Protection Supervision Department

Financial Stability Objectives and Arrangements – What’s New?

A Guide to Regulation and Supervision of Microfinance

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