2008

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Risk-Based Supervision for Securities Supervisors (and Other Supervisors of Small Firms)

TC note to help securities supervisors to develop and implement a risk-based, forward-looking and proactive approach to supervision

Toronto Centre Note discusses the application of risk-based supervision to major securities firms; to stock exchanges and other financial market infrastructure; and to the responsibilities of securities supervisors with respect to listed firms and market abuse. It also develops a risk-based approach to small firms which individually may have low impact. The existence of large numbers of small firms is not unique to the securities sector, but it is more common in the securities sector.

Publisher: Toronto Centre Release date: Feb 2020

Type: TC Notes

Topics: Risk-based supervision

Sectors: Securities

Report on Competent Authorities' Approaches to the Anti-Money Laundering and Countering the Financing of Terrorism Supervision of Banks

Results of the first EBA AML implementation review

European Banking Authority report on anti-money laundering implementation review shows that banks are working hard to reform their approach to anti-money laundering/countering the financing of terrorism supervision, although challenges remain that need to be addressed in order to ensure that AML/CFT supervision is risk based, proportionate and effective.

Publisher: Regional Standard-Setting Bodies Release date: Feb 2020

Type: Consultative, discussion and issues paper

Topics: Money laundering and terrorist financing

Sectors: Banking

Managing Systemic Banking Crises

IMFpaper sets out new lessons and lessons relearned

International Monetary Fund report updates its work on general principles, strategies, and techniques from an operational perspective in preparing for and managing systemic banking crises in light of the experiences and challenges faced during and since the global financial crisis.

Publisher: International Organizations Release date: Feb 2020

Type: Consultative, discussion and issues paper

Topics: Systemic risk, Crisis management and contingency planning

Sectors: Banking

Issues Paper on the Use of Big Data Analytics in Insurance

IAIS paper focuses on issues related to use of personal and other data by insurers

International Association of Insurance Supervisors issues paper focuses on use of algorithms and advanced analytics capabilities by insurers to make decisions based on patterns, trends and linkages and the availability to insurers of new data sources, collectively referred to as "big data analytics" (BDA). Paper notes that increasing digitization provides tremendous opportunities for the insurance sector, but cautions that rapid innovation could unintentionally create risks of poor outcomes for policyholders and increased vulnerability for the sector as as whole. Supervisory must be vigilant of such risks.

Publisher: Global Standard-Setting Bodies Release date: Feb 2020

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, FinTech, Operational risk

Sectors: Insurance

The Importance of Developing Capital Markets

TC podcast on development of capital markets

Toronto Centre podcast discusses resources available to regulators and supervisors as well as market participants.

Publisher: Toronto Centre Release date: Jan 2020

Type: TC Videos

Sectors: Securities

The Green Swan

BIS monograph discusses central banking and financial stability in the age of climate change

Bank for International Settlements monograph sets out ways of addressing the challenges posed by climate change to central banks, regulators and supervisors.

Publisher: International Organizations Release date: Jan 2020

Type: Consultative, discussion and issues paper

Topics: Climate change

Sectors: Banking

How Reliant Are Banks and Insurers on Cloud Outsourcing?

Results of BoE survey to understand how banks and insurers use the cloud

Bank of England survey results show that banks and insurers mainly use cloud outsourcing to run software and access additional processing capacity or to support IT infrastructure. The survey indicates that banks use cloud outsourcing more widely than insurers.

Publisher: National Regulators Release date: Jan 2020 Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Cyber risk, Operational risk

Sectors: Banking, Insurance

Supervisory Responses to Retail Misconduct

TC note suggests that relevant authorities re-think their priorities, institutional structures, regulatory requirements and supervisory interventions regarding retail misconduct

Toronto Centre Note: i) alerts supervisors to the structural and behavioural triggers of retail misconduct, considering the context of their own economies, industries and portfolios of supervised institutions; ii) explores the institutional causes that contribute to retail misconduct and the need to identify and response to these as early as possible; iii) considers the role of whistle-blowers and how they might be enlisted in preventing and addressing retail misconduct; iv) explains the responses to date and their limited usefulness; v) lists possible supervisory actions; and vi) discusses the likely emerging future scenario.

Publisher: Toronto Centre Release date: Jan 2020

Type: TC Notes

Peer: Conduct Supervision

Topics: Conduct, Consumer education and protection

Supervising Climate Risk - ECCB's Perspective

TC podcast focuses on ECCB's work on climate and environmental risks

Toronto Centre podcast with the governor of the Eastern Caribbean Central Bank focuses on the ECCB's work to deal with climate and environmental risks. Highlights how these risks impact financial stability and the economic prosperity of small island states.

Publisher: Toronto Centre Release date: Jan 2020

Type: TC Videos

Topics: Climate change

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

Policy Responses to FinTech

FSI paper sets out cross-country overview of policy responses

Financial Stability Institute paper provides a cross-country overview of policy responses to FinTech developments. The paper proposes a conceptual framework through which to analyze policy responses to FinTech, referred to as the "FinTech tree". The FinTech tree identifies three categories: i) FinTech activities; ii) enabling technologies; and iii) policy enablers.

Publisher: International Organizations Release date: Jan 2020

Type: Consultative, discussion and issues paper

Topics: FinTech

Sectors: Banking, Insurance, Pensions, Securities

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Resources

382 records

Risk-Based Supervision for Securities Supervisors (and Other Supervisors of Small Firms)

Report on Competent Authorities' Approaches to the Anti-Money Laundering and Countering the Financing of Terrorism Supervision of Banks

Managing Systemic Banking Crises

Issues Paper on the Use of Big Data Analytics in Insurance

The Importance of Developing Capital Markets

The Green Swan

How Reliant Are Banks and Insurers on Cloud Outsourcing?

Supervisory Responses to Retail Misconduct

Supervising Climate Risk - ECCB's Perspective

Policy Responses to FinTech

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