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A Sound Capital Planning Process: Fundamental Elements

BCBS guidance to foster overall improvement in banks' capital planning practices

Basel Committee on Banking Supervision sound practice guidance that provides an overview of four fundamental components of a sound capital planning process: i) internal control and governance; ii) capital policy and risk capture; iii) forward-looking view; iv) management framework for preserving capital.

Publisher: Global Standard-Setting Bodies     Release date: Dec 2013    

Type: Sound Practice

Parent: Enhancements to the Basel II Framework

Topics: Capital adequacy, Corporate governance, Risk management

Sectors: Banking

Explanatory Memorandum to the Bank Recovery and Resolution Order 2014

HMT memorandum explaining legislative changes ensuring compliance with EU BRRD

HM Treasury explanatory memorandum prepared for UK Parliament regarding legislative amendments to implement requirements in the Bank Recovery and Resolution Directive (BRRD). Ensures that Special Resolution Regime provided for in the Banking Act 2009 complies with BRRD and extends powers of Bank of England to intervene before it becomes necessary to resolve a failing institution. Also ensures that the Prudential Regulation Authority and Financial Conduct Authority are able to comply with requirements imposed on competent authorities under the BRRD.

Publisher: National Government     Release date: Dec 2013     Country: United Kingdom

Type: Consultative, discussion and issues paper

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Key Attributes of Effective Resolution Regimes for Financial Institutions

Topics: Recovery and resolution, Supervisory framework

Sectors: Banking

Long-term Finance: Can Emerging Capital Markets Help?

BIS seminar proceedings on volatile capital flows, finance for long-term projects and development of domestic capital markets in emerging economies

Proceedings of a Bank for International Settlements and Bank of Russia seminar that addressed: i) how best to respond to volatile capital flows; ii) what can be done to finance long-term projects; iii) how to develop domestic capital markets in emerging economies.

Publisher: International Organizations     Release date: Nov 2013    

Type: Consultative, discussion and issues paper

Topics: Compliance function, Macroprudential

Sectors: Banking, Insurance, Securities

Lessons from the Financial Crisis: Bank Performance and Regulatory Reform

BOC case study of factors that contributed to Canada's relatively positive bank performance in 2007-09

Bank of Canada case study assesses some factors that contributed to Canada's favorable outcome in the global financial crisis of 2007-09 with a view to drawing lessons for regulatory reform. Solid approach to risk management on part of Canadian banking system was important contributor to positive bank performance. Efforts to buttress risk management were favorably influenced by several prior stressful episodes in Canadian financial history. The 2007–09 crisis experience suggests need to make risk management a pervasive element of financial system culture and emphasizes importance of robust liquidity management.

Publisher: National Regulators     Release date: Nov 2013     Country: Canada

Type: Consultative, discussion and issues paper

Topics: Risk management, Liquidity risk and rules, Systemic risk

Sectors: Banking

Assessing the Systemic Importance of Financial Institutions

BOC discussion of approaches used to identify SIFIs in global and domestic financial systems

Bank of Canada paper explores approaches used by authorities to identify SIFIs in both global and domestic financial systems. Outlines differences in methodologies tailored to banks, insurers and other types of financial institutions, providing a critical assessment of each and discussion of implications for Canada. Illustrates possible application of these methodologies, adapting the framework developed by the Basel Committee on Banking Supervision (BCBS) for global systemically important banks (G-SIBs) to Canadian deposit-taking institutions.

Publisher: National Regulators     Release date: Nov 2013     Country: Canada

Type: Consultative, discussion and issues paper

Topics: Systemically important financial institutions (SIFIs)

Sectors: Banking, Insurance, Securities

Principles for an Effective Risk Appetite Framework

FSB principles setting out the key elements of an effective risk appetite framework

Set out key elements for: i) an effective risk appetite framework; ii) an effective risk appetite statement; iii) risk limits; and iv) defining the roles and responsibilities of the board of directors and senior management. An appropriate RAF should enable risk capacity, risk appetite, risk limits and risk profile to be considered for business lines and legal entities as relevant, and within the group context. The FSB Principles are high level to allow financial institutions to develop an effective RAF that is institution-specific and reflects its business model and organisation, as well as to enable financial institutions to adapt to the changing economic and regulatory environment in order to manage new types of risk. Establishing an effective RAF helps to reinforce a strong risk culture at financial institutions, which in turn is critical to sound risk management.

Publisher: Global Standard-Setting Bodies     Release date: Nov 2013    

Type: Guideline

Peer: Guidance on Supervisory Interaction With Financial Institutions on Risk Culture

Topics: Risk management, Corporate governance, Supervisory framework

Sectors: Banking, Insurance, Securities

Report of the Peer Review of the EBA Stress Testing Guidelines

EBA report on stress testing best practices peer review

European Banking Authority peer review on implementation of EBA guidelines on stress testing. Aim is to assess and compare effectiveness of supervisory activities related to review of credit institutions' stress testing frameworks across the EU, as well as implementation of related provisions by supervisory authorities. Focused on methods and examples of best practice and covered; i) stress testing governance structures and their use; ii) possible methodologies including the appropriate severity of scenarios and potential mitigating measures during stressed conditions; and iii) overall impact of risk on institutions.

Publisher: Regional Standard-Setting Bodies     Release date: Nov 2013    

Type: Implementation

Topics: Stress-testing, Risk management

Sectors: Banking

2013 Update of Group of Globally Systemically Important Banks (G-SIBs)

FSB annual update of allocation of G-SIBs to buckets corresponding to required level of additional loss absorbency and using updated assessment methodology

Financial Stability Board annual update of list of G-SIBs, using end-2012 data and an updated assessment methodology published by the Basel Committee on Banking Supervision in July 2013. Changes to the methodology include the introduction of a cap to the Substitutability category. BCBS has brought forward by one year to November 2013 the publication of denominators used to calculate banks’ scores, as well as cut-off score and thresholds used to allocate banks to buckets.

Release date: Nov 2013    

Type: Implementation

Deadline for comments:

Good Practices for Governance of Pension Supervisory Authorities

IOPS guideline building upon the supervisory authority governance principles set out in the IOPS Principles of Private Pension Supervision

International Organization of Pension Supervisors guideline applicable to various types of organizational structures of pension supervisory authorities (specialized, partially integrated and integrated) and a wide range of governance arrangements. Guidelines address: i) governance structure; ii) decision making process; iii)) internal and external controls; iv) codes of conduct and managing conflicts of interest; v) appeal procedures; vi) performance measurement and training; vii) accountability; and viii) communication.

Publisher: Global Standard-Setting Bodies     Release date: Oct 2013    

Type: Guideline

Parent: IOPS Principles of Private Pension Supervision

Topics: Supervisory framework, Corporate governance

Sectors: Pensions

A Framework for Stress Testing the UK Banking System

BOE discussion paper examining main features of proposed stress-testing framework for review and feedback

Bank of England discussion paper setting out proposals for main features of framework for annual and concurrent stress-testing of UK banking system. Focused on the medium-term stress-testing framework to elicit feedback from interested parties to help inform Financial Policy Committee (FPC) and Prudential Regulation Authority Board decisions over ultimate design of the UK stress-testing framework.

Publisher: National Regulators     Release date: Oct 2013     Country: United Kingdom

Type: Consultative, discussion and issues paper

Peer: New Technology-Based Outsourcing Arrangements

Topics: Stress-testing

Sectors: Banking

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