2014

382 records

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Recovery and Resolution Planning for SIIs: Guidance on Identification of Critical Functions and Critical Shared Services

FSB consultative document on identification of critical functions and critical shared services for SIIs

The Financial Stability Board and the International Association of Insurance Supervisors proposals regarding systemically important insurers (SIIs) in the context of the FSB's Key Attributes of Effective Resolution Regimes. Identification of critical functions and critical shared services is necessary to help ensure an orderly resolution with reduced risks of systemic disruption and preservation of value.

Publisher: Global Standard-Setting Bodies Release date: Oct 2014

Type: Consultative, discussion and issues paper

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Peer: Developing Effective Resolution Strategies and Plans for Systemically Important Insurers

Topics: Recovery and resolution, Crisis management and contingency planning, Systemically important financial institutions (SIFIs)

Sectors: Insurance

Deadline for comments: Dec 2014

Approaches to Conduct of Business Supervision

IAIS guideline for conduct of business supervision under the Insurance Core Principles

International Association of Insurance Supervisors guidance on scope of, and approaches to, conduct of business supervision under Insurance Core Principles (ICP) 9 (Supervisory Review and Reporting) and ICP 19 (Conduct of Business) and incorporating them into broader supervisory frameworks.

Publisher: Global Standard-Setting Bodies Release date: Oct 2014

Type: Guideline

Topics: Corporate governance, Licensing, Conduct, Supervisory framework

Sectors: Insurance

Transparency and Beneficial Ownership

FATF guideline to prevent misuse of corporate vehicles for money laundering or terrorist financing

Financial Action Task Force guidance to assist countries to design and implement measures to deter and prevent misuse of corporate vehicles such as companies, trusts and other types of legal persons and arrangements for purposes of money laundering and terrorist financing.

Publisher: Global Standard-Setting Bodies Release date: Oct 2014

Type: Guideline

Topics: Money laundering and terrorist financing, Transparency and disclosure

Sectors: Banking, Insurance, Securities

Basel III Regulatory Framework for Banks

Overview of BCBS package of post-crisis reforms known as Basel III which include two principal subcomponents addressing capital and liquidity rules

The Basel Committee on Banking Supervision's home webpage for Basel III.

Publisher: Global Standard-Setting Bodies Release date: Sep 2014

Type: Others

Parent: Basel III: A Global Regulatory Framework for More Resilient Banks and Banking Systems

Peer: Finalising Basel III

Topics: Capital adequacy, Risk management, Corporate governance, Transparency and disclosure, Macroprudential

Sectors: Banking

Leverage Requirements Guideline

OSFI leverage ratio requirement for banks implementing a component of Basel III

Leverage ratio requirement of the Office of the Superintendent of Financial Institutions of Canada. Leverage requirements, together with risk-based capital adequacy requirements (CAR), are the bases on which OSFI assesses whether a bank maintains adequate capital. OSFI has established two minimum standards: i) leverage ratio described in this Guideline; and ii) risk-based capital ratio set out in the CAR Guideline.

Publisher: National Regulators Release date: Sep 2014 Country: Canada

Type: Law, Regulation and Policy

Topics: Capital adequacy

Sectors: Banking

Guidelines Concerning the Interrelationship Between the Sequence of Writedown and Conversion and Capital Requirements Regulation

EBA draft guidelines on treatment of liabilities in bail-in

European Banking Authority draft guidelines clarify interrelationship between the sequence in which liabilities should be written down or converted under the bail-in power in the Bank Recovery and Resolution Directive (BRRD) and the hierarchy of capital instruments in Capital Requirements Regulation (CRR). Aims to ensure that bail-in power is effective means of absorbing losses and recapitalizing banks in resolution and that resolution authorities and other stakeholders have a clear understanding of terms under which it should be applied.

Publisher: Regional Standard-Setting Bodies Release date: Sep 2014

Type: Guideline

Topics: Recovery and resolution

Sectors: Banking, Securities

Consolidated Recovery Planning for Large Domestic Bank Holding Companies

FRB guidance on recovery planning and recovery plans at large bank holding companies in the US

US Federal Reserve Board guidance applies to eight domestic bank holding companies in Large Institution Supervision Coordinating Committee (LISCC) portfolio that may pose elevated risk to U.S. financial stability. Discusses supervisory expectations for recovery planning, role of board of directors and elements of a recovery plan (including internal governance, recovery options, plan execution and impact assessment).

Publisher: National Regulators Release date: Sep 2014 Country: United States

Type: Law, Regulation and Policy

Topics: Recovery and resolution, Corporate governance

Sectors: Banking

Effective Approaches to Support Implementation of G20/IOSCO Principles on Financial Education and Awareness

OECD guidance on implementing Principle 5

Organisation for Economic Co-operation and Development guidance addresses one of the 10 G20/OECD High-Level Principles on Financial Consumer Protection. Complements the effective approaches developed by the G20/OECD Task Force on Financial Consumer Protection on the other nine G20 High-Level Principles on Financial Consumer Protection, which were issued in two parts.

Publisher: International Organizations Release date: Sep 2014

Type: Guideline

Parent: G20 High-Level Principles on Financial Consumer Protection

Peer: G20 High-Level Principles on Financial Consumer Protection, Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2, Good Practices on Consumer Protection Related to Private Pension Systems

Topics: Consumer education and protection, Corporate governance, Conduct

Sectors: Banking, Insurance, Pensions, Securities

Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2

OECD guidance on implementing certain of its consumer protection principles

Organisation for Economic Co-operation and Development guidance addresses six of the 10 G20/OECD High-Level Principles on Financial Consumer Protection: i) legal, regulatory and supervisory framework; ii) role of oversight bodies; iii) equitable and fair treatment of consumers; iv) protection of consumer assets against fraud and misuse; v) protection of consumer data and privacy; and vi) competition.

Publisher: International Organizations Release date: Sep 2014

Type: Guideline

Parent: G20 High-Level Principles on Financial Consumer Protection

Peer: G20 High-Level Principles on Financial Consumer Protection, Good Practices on Consumer Protection Related to Private Pension Systems , Effective Approaches to Support Implementation of G20/IOSCO Principles on Financial Education and Awareness

Topics: Consumer education and protection, Corporate governance, Conduct

Sectors: Banking, Insurance, Pensions, Securities

The UK Corporate Governance Code

Updated code of corporate governance focuses on risks to longer term viability

UK Financial Reporting Council updated corporate governance code focuses on the provision by companies of information about the risks which affect longer term viability. Main principles are: i) leadership; ii) effectiveness; iii) accountability; iv) remuneration; and v) relations with shareholders.

Publisher: National Regulators Release date: Sep 2014 Country: United Kingdom

Type: Supervisory Practice

Topics: Corporate governance, Transparency and disclosure

Sectors: Banking, Insurance, Pensions, Securities

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Resources

382 records

Recovery and Resolution Planning for SIIs: Guidance on Identification of Critical Functions and Critical Shared Services

Approaches to Conduct of Business Supervision

Transparency and Beneficial Ownership

Basel III Regulatory Framework for Banks

Leverage Requirements Guideline

Guidelines Concerning the Interrelationship Between the Sequence of Writedown and Conversion and Capital Requirements Regulation

Consolidated Recovery Planning for Large Domestic Bank Holding Companies

Effective Approaches to Support Implementation of G20/IOSCO Principles on Financial Education and Awareness

Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2

The UK Corporate Governance Code

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