Global Standard-Setting Bodies

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Good Practices on Consumer Protection Related to Private Pension Systems

IOPS sound practice guidelines identify supervisory measures to enhance consumer protection

International Organisation of Pension Supervisors sound practice guidelines examine consumer protection in private pensions systems and the role of supervisory authorities. Identifies key areas and supervisory measures directed at enhancing consumer protection.

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

Type: Sound Practice

Parent: G20 High-Level Principles on Financial Consumer Protection, IOPS Principles of Private Pension Supervision

Peer: Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2, Effective Approaches to Support Implementation of G20/IOSCO Principles on Financial Education and Awareness

Topics: Pension and retirement plans, Consumer education and protection, Conduct, Transparency and disclosure

Sectors: Pensions

Recommendations for Liquidity Risk Management for Collective Investment Schemes

IOSCO final recommendations on good liquidity risk management practices

International Organization of Securities Commissions final recommendations address structural vulnerabilities identified by the Financial Stability Board regarding liquidity risk management in the asset management industry. Topics covered include: i) disclosure to investors; ii) alignment between asset portfolio and redemption terms; iii) availability and effectiveness of liquidity risk management tools; and iv) fund level stress testing.

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

Type: Consultative, discussion and issues paper

Peer: Liquidity Management Tools in Collective Investment Schemes

Topics: Liquidity risk and rules, Transparency and disclosure, Stress-testing

Sectors: Securities

Good Practices for Open-End Fund Liquidity and Risk Management

IOSCO sound practice for liquidity risk management by asset managers

International Organization of Securities Commissions sound practice addresses structural vulnerabilities identified by the Financial Stability Board regarding liquidity risk management in the asset management industry. Topics covered include: i) disclosure to investors; ii) alignment between asset portfolio and redemption terms; iii) availability and effectiveness of liquidity risk management tools; and iv) fund level stress testing.

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

Type: Sound Practice

Peer: Liquidity Management Tools in Collective Investment Schemes

Topics: Liquidity risk and rules, Transparency and disclosure, Stress-testing

Sectors: Securities

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

Cross-Border Retail Payments

CPMI report sets out improvements in infrastructure for cross-border retail payments

Committee on Payments and Market Infrastructure report analyzes cross-border retail payments by individuals and businesses and identifies issues and challenges. Draws on a survey of established and innovative providers of cross-border retail payment services around the world. Sets out scope for improvements in existing infrastructures.

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

Type: Consultative, discussion and issues paper

Peer: Fast Payments - Enhancing the Speed and Availability of Retail Payments , Non-Banks in Retail Payments , Innovations in Retail Payments

Topics: Cross-border cooperation, Financial inclusion, Financial market infrastructure, FinTech

Sectors: Banking, Securities

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

Guidelines on Insurance-Based Investment Products

EIOPA guidelines on the sale of insurance products that have investment exposures deemed non-complex and complex

European Insurance and Occupational Pensions Authority guidelines on the sale of insurance-based investment products (IBIPs), including those where associated risks are difficult for the customer to understand. Those with complex features require that insurers and insurance distributors undertake greater due diligence to ensure the product is suitable and appropriate for the client.

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

Type: Guideline

Parent: Insurance Distribution Directive

Topics: Consumer education and protection, Transparency and disclosure, Corporate governance

Sectors: Insurance

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

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

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Resources

382 records

Good Practices on Consumer Protection Related to Private Pension Systems

Recommendations for Liquidity Risk Management for Collective Investment Schemes

Good Practices for Open-End Fund Liquidity and Risk Management

Implications of FinTech Developments for Banks and Bank Supervisors

Cross-Border Retail Payments

Pillar 3 Disclosure Requirements - Updated Framework

Recommendations for Liquidity Risk Management for Collective Investment Schemes

Guidelines on Insurance-Based Investment Products

Finalising Basel III

Progress Report on the Implementation of Principles for Effective Supervisory Colleges

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