2014

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Guidance on Supervisory Interaction With Financial Institutions on Risk Culture

FSB framework for assessing risk culture

Financial Stability Board paper explores ways to assess risk culture at financial institutions, particularly at systemically important financial institutions.

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

Type: Guideline

Peer: Principles for an Effective Risk Appetite Framework, Reducing the Moral Hazard Posed by Systemically Important Financial Institutions, Intensity and Effectiveness of SIFI Supervision: Recommendations for Enhanced Supervision, Guidance on Supervisory Interaction With Financial Institutions on Risk Culture , Thematic Review on Risk Governance

Topics: Risk management, Corporate governance

Sectors: Banking, Insurance

Capital Requirements for Bank Exposures to Central Counterparties

BCBS revised policy framework for the capital treatment of bank exposures to central counterparties

Basel Committee on Banking Supervision policy framework includes: i) single approach for calculating capital requirements for a bank's exposure that arises from its contributions to the mutualized default fund of a qualifying CCP (QCCP); ii) a standardized approach for counterparty credit risk (CCP) (as opposed to the Current Exposure Method) to measure hypothetical capital requirement of a CCP; iii) an explicit cap on capital charges applicable to a bank's exposure to a QCCP; iv) specification of how to treat multi-level client structures whereby an institution clears its trades through intermediaries linked to a CCP; and v) responses to frequently asked questions posed to the Basel Committee in the course of its work on final standard.

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

Type: Standard

Topics: Financial market infrastructure, Capital adequacy

Sectors: Banking

The Standardised Approach for Measuring Counterparty Credit Risk Exposures

BCBS standard for determining credit exposures of derivative contracts

Basel Committee on Banking Supervision standard sets out formulation for Standardised Approach for measuring exposure at default for counterparty credit risk. Replaces the Current Exposure Method (CEM) and the Standardised Method (SM) approaches. New standard approach: i) is suitable to be applied to a wide variety of derivatives transactions (margined and unmargined, as well as bilateral and cleared); ii) is capable of being implemented simply and easily; iii) addresses known deficiencies of the CEM and the SM; iv) draws on prudential approaches already available in the Basel Framework; v) minimizes discretion used by national authorities and banks; and vi) improves risk sensitivity of capital framework without creating undue complexity.

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

Type: Standard

Topics: Credit risk, Derivatives

Sectors: Banking

How Big is the Implicit Subsidy for Banks Considered Too Important to Fail?

IMF report examines effects of government protection for banks considered too important to fail

International Monetary Fund report assesses the likelihood of various policy efforts since the global financial crisis to alleviate the too important to fail issue by investigating the evolution of funding cost advantages enjoyed by systemically important banks. The expectation of government support in case of distress continues to represent an implicit public subsidy to those banks.

Publisher: International Organizations Release date: Apr 2014

Type: Consultative, discussion and issues paper

Topics: Recovery and resolution, Crisis management and contingency planning

Sectors: Banking

Liquidity Coverage Ratio Disclosure Standards

BCBS final requirements for banks

Basel Committee on Banking Supervision final requirements for banks' LCR related disclosures to improve the transparency of regulatory liquidity requirements and enhance market discipline. Consistent with the Basel III agreement, national authorities will give effect to these disclosure requirements, and banks will be required to comply with them, from the date of the first reporting period after 1 January 2015.

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

Type: Standard

Parent: Basel III: The Liquidity Coverage Ratio and Liquidity Risk Monitoring Tools

Topics: Liquidity risk and rules, Risk management, Transparency and disclosure

Sectors: Banking

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

Enabling Mobile Money in Tanzania

GSMA report on Tanzania's experience with regulating and supervising mobile financial services

GSM Association case study on the strong performance of mobile money in Tanzania that has been driven by the market and enabled by a conducive regulatory environment. Describes the efforts of the Bank of Tanzania, the central bank, in close collaboration with the Tanzania Communications Regulatory Authority, which regulates the mobile network operators who have been instrumental in the development of the market.

Publisher: Others Release date: Mar 2014 Country: Tanzania

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Consumer education and protection, Financial market infrastructure

Sectors: Banking, Microfinance

A Comparison and Analysis of Prudential Standards in the Securities Sector

IOSCO comparative analysis of key prudential/capital frameworks for securities firms

International Organization of Securities Commissions consultation report: i) undertakes high level comparative analysis of key prudential/capital frameworks for securities firms for purposes of highlighting similarities, differences and gaps; and ii) concludes on key themes and issues identified from comparative analysis. To inform possible update of IOSCO's 1989 Capital Standards Report.

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

Type: Consultative, discussion and issues paper

Peer: A Comparison and Analysis of Prudential Standards in the Securities Sector

Topics: Capital adequacy, Supervisory framework

Sectors: Securities

Canada Financial Sector Assessment Program: Stress Testing - Technical Note

IMF technical note on stress testing module of the 2013 FSAP Update for Canada

International Monetary Fund technical note identifies risk factors likely to weigh on financial results during period of severe stress. Stress tests included six largest Canadian banks, three largest life insurance providers and Canada Mortgage and Housing Corporation (CMHC).

Publisher: International Organizations Release date: Feb 2014 Country: Canada

Type: Consultative, discussion and issues paper

Topics: Capital adequacy, Stress-testing

Sectors: Banking, Insurance

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

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Resources

382 records

Guidance on Supervisory Interaction With Financial Institutions on Risk Culture

Capital Requirements for Bank Exposures to Central Counterparties

The Standardised Approach for Measuring Counterparty Credit Risk Exposures

How Big is the Implicit Subsidy for Banks Considered Too Important to Fail?

Liquidity Coverage Ratio Disclosure Standards

Establishing a Financial Consumer Protection Supervision Department

Enabling Mobile Money in Tanzania

A Comparison and Analysis of Prudential Standards in the Securities Sector

Canada Financial Sector Assessment Program: Stress Testing - Technical Note

Financial Stability Objectives and Arrangements – What’s New?

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