Global Standard-Setting Bodies

382 records

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Stocktake of Efforts to Strengthen Governance Frameworks to Mitigate Misconduct Rules

FSB report on role of governance frameworks in reducing misconduct

Financial Stability Board report on stock taking conducted by its Working Group on Governance Frameworks covering international bodies, national authorities, industry associations and a sample of major financial institutions to understand any work they have done on using governance frameworks to address misconduct risk and what work they have underway. The report includes summaries of responses to the surveys.

Publisher: Global Standard-Setting Bodies Release date: May 2017

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Conduct

Sectors: Banking, Insurance, Securities

FinTech Credit

FSB and BIS report on market structure, business models and financial stability implications of FinTech credit platforms

Financial Stability Board and Bank for International Settlements working group report analyzes the nature of FinTech credit. Finds wide variation in the business models of the electronic platforms. Platforms facilitate various forms of credit, including consumer and business lending, lending against real estate and business invoice financing. The profile of investors, which platforms match to borrowers, also differs across countries.

Publishers: Global Standard-Setting Bodies, International Organizations Release date: May 2017

Type: Consultative, discussion and issues paper

Peer: Financial Stability Implications from FinTech

Topics: Financial inclusion, Credit risk, Financial market infrastructure, FinTech

Sectors: Banking

Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation

IOSCO methodology to conduct self-assessment or guide third party assessment of implementation of the international standard for securities regulation

International Organization of Securities Commissions guidance on conduct of a self-assessment or third party assessment of level of implementation of IOSCO's Objectives and Principles of Securities Regulation. Draws together key issues and questions relevant to implementation of the 38 Principles and provides benchmarks by which level of implementation can be assessed based on four grades: i) fully implemented; ii) broadly implemented; iii) partially implemented; and iv) not implemented. Intended to apply to securities markets, intermediaries, information service providers such as credit rating agencies and products addressed by Principles and to take account of actual configuration of markets and stage of their development.

Publisher: Global Standard-Setting Bodies Release date: May 2017

Type: Guideline

Parent: Objectives and Principles of Securities Regulation

Topics: Supervisory framework

Sectors: Securities

Objectives and Principles of Securities Regulation

Internationally agreed standard for securities regulation issued by IOSCO

International Organization of Securities Commissions standard sets out 38 principles of securities regulation based on three objectives: i) protecting investors; ii) ensuring that markets are fair, efficient and transparent; and iii) reducing systemic risk. Principles are grouped into nine categories: i) relating to regulator; ii) self-regulation; iii) enforcement of securities regulation; iv) cooperation in regulation; v) issuers; vi) auditors, credit ratings agencies and other information service providers; vii) collective investment schemes; viii) market intermediaries; ix) secondary markets; and x) clearing and settlement.

Publisher: Global Standard-Setting Bodies Release date: May 2017

Type: Standard

Peer: Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation

Topics: Supervisory framework

Sectors: Securities

Thematic Review on Corporate Governance

FSB peer review on how members have implemented OECD Principles of Corporate Governance

Financial Stability Board peer review on corporate governance identifies effective practices and areas where progress has been made while noting gaps and areas of possible weakness. Sets out 12 recommendations that cover: i) the basis for an effective corporate governance framework; ii) disclosure and transparency; iii) responsibilities of the board; iv) rights and equitable treatment of shareholders and key ownership functions; and v) role of stakeholders in corporate governance.

Publisher: Global Standard-Setting Bodies Release date: Apr 2017

Type: Implementation

Parent: Principles of Corporate Governance

Topics: Corporate governance, Transparency and disclosure

Sectors: Banking, Securities

FSB-IOSCO Roundtable on Compensation Practices in the Securities Sector

Summary and main takeaways from FSB-IOSCSO joint roundtable on compensation

Financial Stability Board and International Organization of Securities Commission summary of a joint roundtable on compensation practices in the securities sector. Discusses: i) design and governance; ii) financial stability risks; iii) compensation practices, misconduct risk and investor protection issues; and iv) regulatory considerations.

Publisher: Global Standard-Setting Bodies Release date: Apr 2017

Type: Consultative, discussion and issues paper

Peer: FSB Principles for Sound Compensation Practices: Implementation Standards , FSB Principles for Sound Compensation Practices

Topics: Corporate governance

Sectors: Securities

IAIS Stakeholder Engagement Plan

IAIS plan to strengthen its engagement with stakeholders

International Association of Insurance Supervisors plan sets out new stakeholder engagement commitments, policies and strategies. Enables insurance supervisors to have an understanding of how the IAIS is gathering input, and may inform the coordination of their own interactions with industry and other stakeholders. Insurance supervisors also might be able to learn from the IAIS's approach to help structure their own stakeholder engagement efforts.

Publisher: Global Standard-Setting Bodies Release date: Mar 2017

Type: Implementation

Topics: Implementing change, Transparency and disclosure

Sectors: Insurance

Progress in Adopting the Principles for Effective Risk Data Aggregation and Risk Reporting

BCBS progress report for 2016

Basel Committee on Banking Supervision fourth progress report reviews G-SIBs' progress in implementing the Principles in 2016. Finds that G-SIBs' level of compliance with the Principles is unsatisfactory, notwithstanding that G-SIBs have made some progress in implementing the Principles in 2016. Makes two additional recommendations: i) banks should develop clear roadmaps to achieve full compliance with the Principles and to comply with them on an ongoing basis; and ii) supervisors should communicate assessment results to their banks, provide necessary incentives to achieve full compliance with the Principles, and continue to refine their techniques to assess banks' compliance.

Publisher: Global Standard-Setting Bodies Release date: Mar 2017

Type: Implementation

Peer: Principles for Effective Risk Aggregation and Risk Reporting

Topics: Risk management, Systemically important financial institutions (SIFIs), Transparency and disclosure

Sectors: Banking

Pillar 3 Disclosure Requirements - Consolidated and Enhanced Framework

BCBS consultation on a second phase of proposed enhancements to Pillar 3

Basel Committee on Banking Supervision consultation sets out second phase of review of Pillar 3 disclosure requirements under the Basel III reforms. Proposals include: i) consolidation of all existing BCBS disclosure requirements into the Pillar 3 framework; ii) introduction of a "dashboard" of banks' key prudential metrics; and iii) updates to reflect ongoing reforms to the regulatory framework, such as the total loss-absorbing capacity (TLAC) regime for global systemically important banks and BCBS' revised market risk framework.

Publisher: Global Standard-Setting Bodies Release date: Mar 2017

Type: Standard

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

Topics: Transparency and disclosure

Sectors: Banking

Regulatory Treatment of Accounting Provisions - Transitional Arrangements

BCBS consultation on regulatory treatment of accounting provisions as accounting standards bodies implement an expected credit loss framework

Basel Committee on Banking Supervision consultation on the phase-in arrangements for the regulatory treatment of accounting provisions under the Basel III capital framework as the International Accounting Standards Board (IASB) and the US Financial Accounting Standards Board (FASB) move from an incurred credit loss to an expected credit loss (ECL) approach to accounting provisions for loan losses. The adoption of an ECL approach is expected to increase required accounting provisions, potentially significantly.

Publisher: Global Standard-Setting Bodies Release date: Mar 2017

Type: Standard

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

Topics: Accounting, actuarial and auditing , Credit risk, Capital adequacy

Sectors: Banking

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Resources

382 records

Stocktake of Efforts to Strengthen Governance Frameworks to Mitigate Misconduct Rules

FinTech Credit

Methodology for Assessing Implementation of the IOSCO Objectives and Principles of Securities Regulation

Objectives and Principles of Securities Regulation

Thematic Review on Corporate Governance

FSB-IOSCO Roundtable on Compensation Practices in the Securities Sector

IAIS Stakeholder Engagement Plan

Progress in Adopting the Principles for Effective Risk Data Aggregation and Risk Reporting

Pillar 3 Disclosure Requirements - Consolidated and Enhanced Framework

Regulatory Treatment of Accounting Provisions - Transitional Arrangements

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