2010

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Methodology for Review of Supervisory Systems Using IOPS Principles

Assessment methodology for the IOPS Principles of Private Pension Supervision

International Organization of Pension Supervisors paper outlining methodology used for 2010 study IOPS Principles of Private Pension Supervision. Provides a structured means of assessing extent to which a pensions supervisory authority complies with letter and spirit of Principles. Translates text supporting each Principle into key considerations to be taken into account in making the assessment along with a series of specific questions. Considerations and questions have been informed by IOPS work on good governance in pension supervisory authorities, by OECD/IOPS Guidelines on Licensing of Pension Entities and by IOPS Working Paper on the Implementation of Risk-based Supervision.

Publisher: Global Standard-Setting Bodies Release date: Oct 2010

Type: Standard

Parent: IOPS Principles of Private Pension Supervision

Topics: Compliance function, Transparency and disclosure, Risk-based supervision

Sectors: Pensions

Implementing OTC Derivatives Market Reforms

FSB recommendations to facilitate implementation of G20 commitments to OTC reforms

Financial Stability Board recommendations address issues that authorities may encounter in implementing the G20 Leaders' commitments concerning standardization, central clearing, exchange or electronic platform trading, and reporting of OTC derivatives transactions to trade repositories. Sets targets for fully implementing the G20 commitments while minimizing the potential for regulatory arbitrage. Sets deadlines to meet the G20's end-2012 commitments, and specifies bodies to take the recommendations forward.

Publisher: Global Standard-Setting Bodies Release date: Oct 2010

Type: Guideline

Peer: Liquidity and Policy Analyses for Platform Trading of OTC Derivatives: A Perspective of Smaller Markets, Review of OTC Derivatives Market Reforms

Topics: Derivatives, Transparency and disclosure

Sectors: Banking, Insurance, Securities

Reducing the Moral Hazard Posed by SIFIs

FSB policy framework for addressing the systemic and moral hazard risks associated with systemically important financial institutions (SIFIs)

Financial Stability Board recommendations for improving authorities' ability to resolve SIFIs in an orderly manner without exposing tax-payers to loss and while maintaining continuity of vital economic functions. Requires changes to national resolution regimes, including to enable resolution authorities to coordinate in cross-border resolutions. Recommends that G-SIFIs, financial institutions that are globally systemic, have higher loss-absorbency capacity than Basel III minimum levels and be subject to more intensive supervision and resolution planning to reduce the probability and impact of failure.

Publisher: Global Standard-Setting Bodies Release date: Oct 2010

Type: Standard

Parent: Global Systemically Important Insurers (G-SIIs) and the Policy Measures That Will Apply to Them

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

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

Sectors: Banking, Insurance, Securities

Protecting Branchless Banking Consumers: Policy Objectives and Regulatory Options

CGAP note discussing policy options to achieve proportionality and effectiveness in consumer protection

Consultative Group to Assist the Poor focus note discussing proportionality and effectiveness in financial consumer protection by drawing from CGAP’s ongoing work on branchless banking. Shares insights gained from studying the regulatory and institutional setup in four countries—Brazil, India, Kenya and Peru—and draws from the experience of other countries as well as recent consumer experience research. Discusses policy objectives and regulatory options.

Publisher: International Organizations Release date: Oct 2010 Country: Kenya

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Conduct

Sectors: Banking

Money Laundering Using Trust and Company Service Providers

FATF and CFATF report on the application of the FATF Recommendations to Trust and Company Service Providers

Financial Action Task Force and Caribbean Financial Action Task Force Report on Trust and Company Service Providers (TCSPs). TCSPs are often involved in some way in the establishment and administration of most legal persons and arrangements, and in many jurisdictions, they play a key role as gatekeepers for the financial sector. The report provides case studies which demonstrate that TCSPs have often been used, wittingly or unwittingly, in the conduct of money laundering activities. Report: i) evaluates effectiveness of practical applications of the FATF Recommendations as they relate to TCSPs; ii) considers role of TCSPs in detection, prevention and prosecution of money laundering and terrorist financing; and iii) evaluates potential need for additional international requirements or sector-specific international standards for TCSPs.

Publisher: Global Standard-Setting Bodies Release date: Oct 2010

Type: Consultative, discussion and issues paper

Parent: International Standards on Combatting Money Laundering and the Financing of Terrorism and Proliferation

Topics: Money laundering and terrorist financing

Sectors: Banking, Insurance, Securities

Internal Capital Adequacy Assessment Process

OSFI guidelines on expectations for an institution’s internal capital adequacy assessment process (ICAAP)

Office of the Superintendent of Financial Institutions of Canada guidelines defining the scope of an ICAAP and its relationship to banks' risk management programs and OSFI's overall supervisory process, including its assessment of capital adequacy.

Publisher: National Regulators Release date: Sep 2010 Country: Canada

Type: Guideline

Topics: Capital adequacy, Risk management, Risk-based supervision

Sectors: Banking

Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries

CFTC rule for off-exchange foreign currency transactions with retail customers

Commodity Futures Trading Commission rule establishes requirements for, among other things, registration disclosure, recordkeeping, financial reporting, minimum capital, and other operational standards.

Publisher: National Regulators Release date: Sep 2010 Country: United States

Type: Law, Regulation and Policy

Topics: Foreign exchange rate risk, Capital adequacy, Transparency and disclosure, Consumer education and protection

Sectors: Banking

The IMF-FSB Early Warning Exercise

IMF explanation of its approach to the Early Warning Exercise

International Monetary Fund overview of its approach to the IMF-FSB Early Warning Exercise. The EWE is part of the IMF's efforts to strengthen surveillance, especially the analysis of economic, financial, fiscal, and external risks as well as cross-sectoral and cross-border spillovers. The EWE is conducted semi-annually. Part I sets out process, analytical framework, outputs, and dissemination of the EWE. Part II describes main analytical tools deployed in the exercise.

Publisher: International Organizations Release date: Aug 2010

Type: Consultative, discussion and issues paper

Topics: Systemic risk

Sectors: Banking

Guidelines on Stress Testing

EBA guidelines on supervisory expectations for stress testing governance and infrastructure and use of stress testing as a risk management tool

European Banking Authority guidelines to assist institutions in understanding supervisory expectations of appropriate stress testing governance and infrastructure. Covers use of stress testing as a risk management tool. Provides high level guidance on how stress test could be conducted by institutions and assessed by supervisors, including concerning desirable features relating to scope, calibration, frequency, documentation or risks covered.

Publisher: Regional Standard-Setting Bodies Release date: Aug 2010

Type: Guideline

Peer: 2016 EU-Wide Stress Test , 2016 EU-Wide Stress Test Results , Guidelines on Institutions' Stress Testing

Topics: Stress-testing, Risk management

Sectors: Banking

Microfinance Activities and the Core Principles for Effective Banking Supervision

BCBS supervisory guidance for the application of the BCPs to microfinance activities

Basel Committee on Banking Supervision guidance on applying the Basel Core Principles for Effective Banking Supervision (BCPs) to the supervision of microfinance activities. Will assist countries to develop a coherent approach to microfinance supervision that takes account of the need for: i) specialized knowledge of supervisors to effectively identify and measure risks that are specific to microfinance, particularly to microlending; ii) conscious effort to allocate supervisory resources efficiently, especially where depository microfinance does not represent a large portion of the financial system; and iii) a balanced regulatory and supervisory framework that does not add significant costs to microfinance activities across different institutional types.

Publisher: Global Standard-Setting Bodies Release date: Jul 2010

Type: Guideline

Topics: Capital adequacy, Risk management, Supervisory framework

Sectors: Banking, Microfinance

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Resources

382 records

Methodology for Review of Supervisory Systems Using IOPS Principles

Implementing OTC Derivatives Market Reforms

Reducing the Moral Hazard Posed by SIFIs

Protecting Branchless Banking Consumers: Policy Objectives and Regulatory Options

Money Laundering Using Trust and Company Service Providers

Internal Capital Adequacy Assessment Process

Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries

The IMF-FSB Early Warning Exercise

Guidelines on Stress Testing

Microfinance Activities and the Core Principles for Effective Banking Supervision

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