Transparency and disclosure

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FCA Mission: Approach to Authorization

FCA report sets out its approach to authorizations

UK Financial Conduct Authority report sets out its approach to authorizations. Sets out the conditions that firms and individuals must meet to be authorized, how the FCA evaluates whether firms and individuals meet the conditions, how authorizations promote competition, and how the effectiveness of authorization decisions are evaluated.

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

Type: Consultative, discussion and issues paper

Peer: FCA Approach to Competition, FCA Mission: Approach to Consumers

Topics: Consumer education and protection, Transparency and disclosure, Financial inclusion, Conduct, Licensing

Sectors: Banking, Insurance, Pensions, Securities

Principles for Responsible Banking

UNEP proposed principles for aligning banks' strategies with the UN Sustainable Development Goals and the Paris Climate Agreement

United Nations Environment Finance Initiative principles to assist banks to align their business strategy with society's goals. Key features: i) comprehensive framework addressing the strategic portfolio and transaction level across all of the bank's business areas; ii) alignment with Sustainable Development Goals (SGDs) and the Paris Climate Agreement; iii) target-setting in areas of most significant positive and negative impact; iv) transparency and accountability through public reporting and review; and v) guidance, expert advice and peer learning to support implementation.

Publisher: International Organizations Release date: Nov 2018

Type: Consultative, discussion and issues paper

Topics: Climate change , Transparency and disclosure, Corporate governance

Sectors: Banking

Guidelines on Management of Non-Performing and Forborne Exposures

EBA guidelines on how to manage non-performing exposures

European Banking Authority guidelines on how to manage non-performing exposures (NPEs) and forborne exposures (FBEs). Guidelines target high NPE banks with the aim of achieving a sustainable reduction of NPEs.

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

Type: Guideline

Peer: Supervisory Reporting on Forbearance and Nonperforming Exposures

Topics: Credit risk, Asset classification and provisioning, Transparency and disclosure, Accounting, actuarial and auditing

Sectors: Banking

The Basel Framework in 100 Jurisdictions: Implementation Status and Proportionality Practices

FSI report sets out how authorities are implementing international standards in a proportionate manner

Financial Stability Institute report sets out current state of implementation of key Basel standards and outlines associated proportionality practices in 100 jurisdictions that are not members of the Basel Committee on Banking Supervision (BCBS). Report includes a range of proportionality practices applied in non-BCBS jurisdictions.

Publisher: Global Standard-Setting Bodies Release date: Oct 2018

Type: Consultative, discussion and issues paper

Topics: Risk-based supervision, Transparency and disclosure, Capital adequacy, Liquidity risk and rules, Market risk, Operational risk

Sectors: Banking

Guidelines on Provision of Digital Advisory Services

MAS guidelines on characteristics and risks of digital advisory services

Monetary Authority of Singapore guideline sets out its assessment of the unique characteristics of and risks posed by digital advisory services (also known as robo-advisors), along with regulatory expectations.

Publisher: National Regulators Release date: Oct 2018 Country: Singapore

Type: Guideline

Topics: Financial inclusion, Consumer education and protection, Corporate governance, Transparency and disclosure, Operational risk

Sectors: Banking, Securities

Notice on Risk Based Capital Adequacy Requirements for Banks in Singapore

MAS notice establishes minimum capital adequacy ratios for banks and the methodology to calculate the ratios

Monetary Authority of Singapore notice establishes minimum capital adequacy ratios for banks and the methodology they must use to calculate these ratios (Pillar 1). Provides a range of approaches for calculating regulatory capital based on the complexity and sophistication of a bank's businesses and operations. Requires banks to consider whether they have adequate capital to cover exposure to all risks and sets out MAS expectations for bank's internal capital adequacy assessment process (Pillar 2). Specifies minimum disclosure requirements in relation to capital adequacy.

Publisher: National Regulators Release date: Oct 2018 Country: Singapore

Type: Law, Regulation and Policy

Parent: Basel III Leverage Ratio Framework and Disclosure Requirements, Revisions to the Basel III Leverage Ratio Framework

Peer: Risk Based Capital Adequacy Requirements

Topics: Capital adequacy, Credit risk, Market risk, Operational risk, Securitization, Transparency and disclosure

Sectors: Banking

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

IFRS 17 Insurance Contracts: What Supervisors Need to Know

TC note explains new accounting standard for insurance contracts and how supervisors can implement it

Toronto Centre Note discusses: i) how the key features of the standard have been designed to meet the IASB's objectives; ii) potential implications for insurers applying IFRS 17; and iii) considerations for adoption of IFRS 17 for regulatory and supervisory purposes based on the guidance of the IAIS's Insurance Core Principles. Highlights the need for supervisors to take stock of the requirements and determine an action plan for the way forward.

Publisher: Toronto Centre Release date: Oct 2018

Type: TC Notes

Topics: Accounting, actuarial and auditing , Transparency and disclosure

Sectors: Insurance

Transition in Thinking: The Impact of Climate Change on the UK Banking Sector

PRA report examines impact of financial risks from climate change on banks

UK Prudential Regulation Authority report examines: i) financial risks from climate change that impact banks; ii) assesses how banks are responding to and managing those risks; and iii) helps banks to understand the PRA's supervisory approach.

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

Type: Consultative, discussion and issues paper

Peer: The Impact of Climate Change on the UK Insurance Sector , Climate Change

Topics: Climate change , Transparency and disclosure, Corporate governance

Sectors: Banking

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Resources

382 records

FCA Mission: Approach to Authorization

Principles for Responsible Banking

Guidelines on Management of Non-Performing and Forborne Exposures

The Basel Framework in 100 Jurisdictions: Implementation Status and Proportionality Practices

Guidelines on Provision of Digital Advisory Services

Notice on Risk Based Capital Adequacy Requirements for Banks in Singapore

The Prudential Regulation Authority's Approach to Banking Supervision

The Prudential Regulation Authority's Approach to Insurance Supervision

IFRS 17 Insurance Contracts: What Supervisors Need to Know

Transition in Thinking: The Impact of Climate Change on the UK Banking Sector

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