Global Standard-Setting Bodies

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Implications of FinTech Developments for Banks and Bank Supervisors

BCBS report examines impact of FinTech on banking industry and activities of supervisors

Basel Committee on Banking Supervision sound practice report on technology-driven innovation in financial services (FinTech). Provides an overview of the FinTech landscape and the current state of the industry, identification of challenges and implications for banks, and assessment of implications for supervisors and regulatory frameworks. Discusses certain technology developments (big data, distributed ledger technology and cloud computing) and FinTech business models (innovative payment services, lending platforms and neo-banks).

Publisher: Global Standard-Setting Bodies Release date: Feb 2018

Type: Sound Practice

Topics: Financial inclusion, Financial market infrastructure, FinTech

Sectors: Banking

Pillar 3 Disclosure Requirements - Updated Framework

BCBS proposed disclosure requirements to update Pillar 3 framework

Basel Committee on Banking Supervision proposed additional disclosure requirements related to the finalization of the Basel III framework. Include: i) revised disclosure requirements for credit risk, operational risk, leverage ratio and credit valuation adjustment; ii) new requirements to benchmark risk-weighted assets (RWA) outcomes of banks' internal models with RWA calculated according to the standardized approaches; and iii) revised overview templates on risk management, key prudential metrics and RWA.

Publisher: Global Standard-Setting Bodies Release date: Feb 2018

Type: Consultative, discussion and issues paper

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

Peer: Pillar 3 Disclosure Requirements - Consolidated and Enhanced Framework

Topics: Transparency and disclosure, Capital adequacy, Operational risk

Sectors: Banking

Recommendations for Liquidity Risk Management for Collective Investment Schemes

IOSCO final guidelines to improve liquidity risk management of open-ended collective investment schemes

International Organization of Securities Commissions guidelines set out recommendations to ensure that liquidity is managed to safeguard and protect the interests of investors, including in stressed market conditions. Includes guidance to securities regulators to promote good liquidity management practices for open-ended collective investment schemes.

Publisher: Global Standard-Setting Bodies Release date: Feb 2018

Type: Guideline

Peer: Principles for the Valuation of Collective Investment Schemes

Topics: Liquidity risk and rules, Stress-testing, Consumer education and protection, Corporate governance

Sectors: Securities

Application Paper on the Use of Digital Technology in Inclusive Insurance

IAIS draft guidance on regulations and supervisory practices regarding digital technology in inclusive insurance

International Association of Insurance Supervisors application paper discusses use of digital technology, FinTech and InsurTech in inclusive insurance. Paper: i) describes typical inclusive insurance market and typical inclusive insurance customer; ii) describes use and implications of digital technology with inclusive insurance markets; and iii) provides application guidance on the relevant internationally-agreed Insurance Core Principles regarding the use of digital technology in inclusive insurance.

Publisher: Global Standard-Setting Bodies Release date: Jan 2018

Type: Consultative, discussion and issues paper

Parent: Insurance Core Principles

Peer: Issues Paper on Conduct of Business in Inclusive Insurance

Topics: Financial inclusion, Consumer education and protection, FinTech

Sectors: Insurance, Microinsurance

Deadline for comments: Mar 2018

Finalising Basel III

BCBS brief summarizes main features of the final Basel III framework

Basel Committee on Banking Supervision brief sets out highlights of Basel III, including: i) main features; ii) focus on risk-weighted assets; iii) improving treatment of credit risk; iv) streamlining treatment of operational risk; v) adding a leverage ratio surcharge for the largest banks; vi) creating a more robust risk-sensitive model output floor; and vii) timeline for implementation.

Publisher: Global Standard-Setting Bodies Release date: Jan 2018

Type: Consultative, discussion and issues paper

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

Topics: Capital adequacy, Liquidity risk and rules, Operational risk

Sectors: Banking

Key Attributes Assessment Methodology for the Insurance Sector

FSB methodology for assessing the implementation of the Key Attributes for Effective Resolution Regimes in the insurance sector

Financial Stability Board consultation sets out proposed methodology for assessing implementation of the Key Attributes of Effective Resolution Regimes for Financial Institutions in the insurance sector. Sets out essential criteria to guide assessment of adherence of a jurisdiction's insurance resolution frameworks with the Key Attributes. Promotes consistent assessments across jurisdictions and provides guidance when adopting or reforming insurance resolution options. Will also be used by the International Monetary Fund and the World Bank as part of their financial sector assessments.

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

Type: Consultative, discussion and issues paper

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Topics: Recovery and resolution, Crisis management and contingency planning, Cross-border cooperation, Systemically important financial institutions (SIFIs)

Sectors: Insurance

Deadline for comments: Feb 2018

Progress Report on the Implementation of Principles for Effective Supervisory Colleges

BCBS report highlights findings of implementation monitoring and provides examples of ways to meet commonly encountered challenges

Basel Committee on Banking Supervision progress report based on case studies of 13 colleges from home and host supervisor perspective. Report concludes that the effectiveness of colleges has improved since 2015 in the areas of information-sharing, coordinated risk assessment and crisis preparedness. Challenges remain, including those related to legal constraints on information-sharing, supervisory resource constraints and expectation gaps between home and host supervisors. Report sets out sound practices that include placing emphasis on the work between (or outside) formal college meetings, and encouraging home and host supervisors to reach out to each other to clarify expectations.

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

Type: Implementation

Parent: Principles for Effective Supervisory Colleges

Peer: Progress Report on the Implementation of Principles for Effective Supervisory Colleges

Topics: Cross-border cooperation, Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

Activities-Based Approach to Systemic Risk

IAIS consultation seeks input on development of an activities-based approach to mitigate systemic risk in the insurance sector

International Association of Insurance Supervisors consultation on activities-based approach (ABA) to systemic risk. Consultation: i) provides an overview of IAIS's prior work on assessing and mitigating potential systemic risk; ii) discusses the concept of an ABA relative to the IAIS's existing entity-based approach as well as work by other standard setters; iii) presents IAIS's intended approach to derive ABA policy measures; and v) describes key steps of this approach. Focuses on development of policy measures under IAIS standards but does address the actual implementation of policy measures.

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

Type: Consultative, discussion and issues paper

Topics: Systemic risk, Systemically important financial institutions (SIFIs)

Sectors: Insurance

Deadline for comments: Feb 2018

Supervisory and Bank Stress Testing: Range of Practices

BCBS report on observed supervisory and bank stress testing practices

Basel Commitee on Banking Supervision report sets out range of observed supervisory and bank stress testing practices. Describes and compares these practices and highlights areas of evolution. Report covers: i) supervisory stress frameworks; and ii) bank stress testing frameworks.

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

Type: Consultative, discussion and issues paper

Parent: Principles for Sound Stress Testing Practices and Supervision

Peer: Bank Stress Testing Principles , Peer Review of Supervisory Authorities' Implementation of Stress Testing Principles

Topics: Stress-testing

Sectors: Banking

Macro- and Micro-Dimensions of Supervision of Large Pension Funds

IOPS survey report reviews the nature and effectiveness of new and established pensions supervisory systems

International Organisation of Pension Supervisors research report based on a survey of 34 members of IOPS. The macro dimension of the report focuses on the potential adverse impact of large pension funds (LPFs) on financial markets and the overall economy. The micro-dimension focuses on the possibility that inappropriate governance or weak operations may bring harm to pension beneficiaries and pension sponsors. The report discusses whether it is necessary to explicitly identify systemically important pension funds based on international or domestic standards and apply special regulatory or supervisory guidelines to them.

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

Type: Consultative, discussion and issues paper

Topics: Pension and retirement plans, Systemically important financial institutions (SIFIs), Supervisory framework, Macroprudential, Corporate governance

Sectors: Pensions

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Resources

382 records

Implications of FinTech Developments for Banks and Bank Supervisors

Pillar 3 Disclosure Requirements - Updated Framework

Recommendations for Liquidity Risk Management for Collective Investment Schemes

Application Paper on the Use of Digital Technology in Inclusive Insurance

Finalising Basel III

Key Attributes Assessment Methodology for the Insurance Sector

Progress Report on the Implementation of Principles for Effective Supervisory Colleges

Activities-Based Approach to Systemic Risk

Supervisory and Bank Stress Testing: Range of Practices

Macro- and Micro-Dimensions of Supervision of Large Pension Funds

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