Global Standard-Setting Bodies

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Review of OTC Derivatives Market Reforms

FSB review of effectiveness and broader effects of reform

Financial Stability Board report assesses implementation of G20 reforms to over-the-counter (OTC) derivative markets, effectiveness of reforms in meeting G20 objectives, and broader effects of reforms. Review findings include: i) implementation of reforms is now well progressed; ii) progress has been made toward mitigating systemic risk; iii) progress has been made in improving transparency; iv) further study should be made on effects of reforms in protecting against market abuse; and v) a range of views have been expressed on the impact of market reforms on spreads and liquidity in OTC derivatives markets.

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

Type: Consultative, discussion and issues paper

Peer: Implementing OTC Derivatives Market Reforms

Topics: Derivatives, Transparency and disclosure, Systemic risk

Sectors: Banking, Insurance, Securities

Financial Stability Implications from FinTech

FSB report on implication of new technologies and providers and matters requiring authorities' attention

Financial Stability Board report identifies 10 areas that merit authorities' attention, of which three are seen as priorities for international collaboration: i) managing operational risk from third-party service providers; ii) mitigating cyber risks; and iii) monitoring macrofinancial risks that could emerge as FinTech activities increase.

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

Type: Consultative, discussion and issues paper

Peer: FinTech Credit

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

Sectors: Banking, Insurance, Securities

Range of Practices in Implementing the Countercyclical Capital Buffer Policy

BCBS report on how jurisdictions are implementing the countercyclical capital buffer (CCyB)

Basel Committee on Banking Supervision report details various national CCyB policy frameworks and operational aspects. Notes how CCyB policy frameworks differ markedly with respect to: i) their governance structures; ii) number of indicators used to identify periods of excess credit and systemic risk; iii) degree of reliance on formal versus judgmental approach in making CCyB decisions; and iv) communication and reciprocity practices.

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

Type: Implementation

Parent: Guidance for National Authorities Operating the Countercyclical Capital Buffer

Peer: Countercyclical Capital Buffer Implementation, Frequently Asked Questions on the Basel III Countercyclical Capital Buffer

Topics: Capital adequacy, Credit risk, Systemic risk, Macroprudential

Sectors: Banking

Order Routing Incentives

IOSCO report on practices used by market regulators regarding incentives for order routing that may influence treatment of clients by intermediaries

International Organization of Securities Commissions report on conduct requirements for brokers and firms to manage conflicts of interest associated with routing orders and obtaining best execution. Reviews approaches and practices used by regulators regarding incentives for order routing and execution. Assesses how requirements interact with market practices in different jurisdictions to shape order routing incentives and how these incentives influence behaviour of intermediaries towards their clients.

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

Type: Sound Practice

Topics: Consumer education and protection, Conduct, Transparency and disclosure

Sectors: Securities

Sound Management of Risks Related to Money Laundering and Financing of Terrorism

BCBS revised guidelines on combatting money laundering and terrorist financing in correspondent banking

Basel Committee on Banking Supervision guideline to ensure that banks conduct correspondent banking business with the best possible understanding of applicable rules on anti-money laundering and countering the financing of terrorism. Seeks to reduce so-called de-risking with respect to correspondent bank relationships.

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

Type: Consultative, discussion and issues paper

Peer: FSB Action Plan to Assess and Address the Decline in Correspondent Banking, Stocktake of Remittance Service Providers' Access to Banking Services

Topics: Money laundering and terrorist financing, Risk management, Financial inclusion

Sectors: Banking

Implementing the Recommendations of the Task Force on Climate-Related Financial Disclosures

FSB guidance on how to implement the TCFD recommendations

Financial Stability Board guidance contains: i) directions on the application of the recommendations; ii) recommendations and supporting recommended disclosures that describe information that investors, lenders, and insurance underwriters need to make economic decisions; iii) guidance to assist preparers by providing context and suggestions for implementing recommended disclosures; and iv) supplemental guidance that highlights important sector-specific considerations for the financial and non-financial sectors potentially most affected by climate change.

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

Type: Guideline

Peer: Recommendations of the Task Force on Climate-Related Financial Disclosures

Topics: Climate change , Risk management, Transparency and disclosure

Sectors: Banking, Insurance, Pensions, Securities

Wholesale Market Conduct

IOSCO report describes tools and approaches to discourage, identify, prevent and sanction misconduct in wholesale markets

International Organization of Securities Commissions report identifies the tools used by market regulators to minimize misconduct risk arising from the particular characteristics of wholesale markets, such as a decentralized market structure, opacity, conflicts of interest involving market makers, size and organizational complexity of market participants, and increasing automation.

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

Type: Consultative, discussion and issues paper

Topics: Conduct, Transparency and disclosure

Sectors: Securities

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

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

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Resources

382 records

Review of OTC Derivatives Market Reforms

Financial Stability Implications from FinTech

Range of Practices in Implementing the Countercyclical Capital Buffer Policy

Order Routing Incentives

Sound Management of Risks Related to Money Laundering and Financing of Terrorism

Implementing the Recommendations of the Task Force on Climate-Related Financial Disclosures

Wholesale Market Conduct

Stocktake of Efforts to Strengthen Governance Frameworks to Mitigate Misconduct Rules

FinTech Credit

Objectives and Principles of Securities Regulation

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