Global Standard-Setting Bodies

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Compliance and the Compliance Function in Banks

BCBS principles addressing compliance risk and the compliance function in banks

Basel Committee on Banking Supervision principles applicable to specific responsibilities of the board of directors and senior management for compliance, and principles that should underpin the compliance function. The latter cover independence, resources, responsibilities, relationship with internal audit, cross-border issues and outsourcing.

Publisher: Global Standard-Setting Bodies Release date: Apr 2005

Type: Guideline

Topics: Compliance function

Sectors: Banking

Stress Testing by Insurers

IAIS guidance paper on stress testing in context of capital adequacy and solvency regimes

International Association of Insurance Supervisors guidance paper discusses: i) role stress tests should play in an insurer's overall risk management framework, and how such tests assist the insurer to maintain sufficient capital adequacy and solvency; ii) role stress tests play in assisting supervisors to undertake their role in assessing risks faced by insurers; iii) how supervisors can use stress testing to assess prudential strength of individual insurers; iv) supervisory considerations, such as the corporate governance regime, that need to surround an insurer's stress testing environment; and v) various factors that need to be considered in designing and undertaking stress tests, including a discussion of possible modelling techniques that can be used.

Publisher: Global Standard-Setting Bodies Release date: Oct 2003

Type: Guideline

Topics: Stress-testing, Capital adequacy, Risk management, Corporate governance

Sectors: Insurance

Principles for the Management of Credit Risk

BCBS guidelines on sound practices for managing credit risk

Basel Committee on Banking Supervision guideline addresses: i) establishing an appropriate credit risk environment; ii) operating under a sound credit granting process; iii) maintaining an appropriate credit administration, measurement and monitoring process; and iv) ensuring adequate controls over credit risk. Credit risk practices should also be applied in conjunction with sound practices related to the assessment of asset quality, the adequacy of provisions and reserves, and disclosure of credit risk.

Publisher: Global Standard-Setting Bodies Release date: Sep 2000

Type: Guideline

Peer: Sound Credit Risk Assessment and Valuation for Loans

Topics: Credit risk

Sectors: Banking

Framework for Internal Control Systems in Banking Organisations

BCBS guidance on effective supervision of internal control systems

Basel Committee on Banking Supervision guidance sets out essential elements of a sound internal control system. Outlines principles for use by supervisory authorities when evaluating banks' internal control systems.

Publisher: Global Standard-Setting Bodies Release date: Sep 1998

Type: Guideline

Topics: Corporate governance, Risk management

Sectors: Banking

Enhancing Bank Transparency: Public Disclosure and Supervisory Information that Promote Safety and Soundness in Banking Systems

BCBS report discussing the role of information in effective market discipline and effective banking supervision

Basel Committee on Banking Supervision report discussing the role of transparency and disclosure of information in effective market discipline and effective banking supervision. Identifies six broad categories of information elements that are needed to provide a basic understanding of a bank’s activities and the risks faced. Recommends that banks publicly disclose such information to foster market discipline and strengthen financial stability by promoting transparency of banks’ activities and risk exposures. Encourages supervisors to have access to this and other information of supervisory interest.

Publisher: Global Standard-Setting Bodies Release date: Aug 1998

Type: Consultative, discussion and issues paper

Topics: Risk management, Supervisory framework, Transparency and disclosure

Sectors: Banking

Guidance on Information Sharing

IOSCO guidance on information sharing during periods of crisis

International Organization of Securities Commissions guidance to authorities on sharing information during periods of market and/or firm crisis by: i) identifying in advance types of core information which market authorities would need to be able to obtain and be prepared to share in order to assist in assessing and managing impact of market and/or firm crisis; ii) explaining relevancy of information; and iii) providing illustrations of types of questions which market authorities may use to request information from another authority. Identifies three generic types of market and/or firm events: i) Type I (firm financial crisis); ii) Type II (market-wide volatility); and iii) Type III (unusual price movements or market volatility in a particular security or derivative).

Publisher: Global Standard-Setting Bodies Release date: Oct 1997

Type: Guideline

Topics: Crisis management and contingency planning, Cross-border cooperation

Sectors: Securities

Capital Adequacy Standards for Securities Firms

IOSCO longstanding common conceptual framework

International Organization of Securities Commissions framework for capital requirements for securities firms that take positions as principal, hold client accounts, and/or hold client property. Framework consists of: i) capital adequacy test that reflects liquidity, solvency and risks faced by securities firms; ii) regulatory structure for maintenance of a securities firm's books and records; and iii) framework of regular reporting to, and examination by, a supervisory authority.

Publisher: Global Standard-Setting Bodies Release date: Oct 1989

Type: Standard

Topics: Capital adequacy, Risk management, Liquidity risk and rules, Market risk

Sectors: Securities

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Resources

382 records

Compliance and the Compliance Function in Banks

Stress Testing by Insurers

Principles for the Management of Credit Risk

Framework for Internal Control Systems in Banking Organisations

Enhancing Bank Transparency: Public Disclosure and Supervisory Information that Promote Safety and Soundness in Banking Systems

Guidance on Information Sharing

Capital Adequacy Standards for Securities Firms

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