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Technology Risk Management Guidelines

MAS guidelines to promote sound practices and processes to keep pace with emerging technologies and shifts in the cyber threat landscape

Monetary Authority of Singapore revised guidelines focus on addressing technology and cyber risks in an environment of growing use by financial institutions (FIs) of cloud technologies, application programming interfaces, and rapid software development. The guidelines reinforce the importance of incorporating security controls as part of FI's technology development and delivery lifecycle, as well as in the deployment of emerging technologies. 

Publisher: National Regulators     Release date: Jan 2021    

Type: Guideline

Topics: Risk management, Operational risk, Cyber risk, Consumer education and protection

Sectors: Banking, Insurance

Navigating Uncertainty in Climate Change

OSFI consultation promotes preparedness and resilience to climate-related risks

Office of the Superintendent of Financial Institutions consultation focuses on risks arising from climate change that could affect the safety and soundness of federally regulated financial institutions (FRFIs) and federally regulated pension plans (FRPPs).

Publisher: National Regulators     Release date: Jan 2021    

Type: Consultative, discussion and issues paper

Topics: Climate change

Sectors: Banking, Insurance, Pensions

The PRA's Methodologies for Setting Pillar 2 Capital

PRA policy statement on its Pillar 2 capital requirements

UK Prudential Regulatory Authority statement of policy sets out the methodologies that the PRA uses to inform the setting of Pillar 2 capital for all PRA-regulated banks, building societies, designated investment firms and all PRA-approved or PRA-designated holding companies. 

Publisher: National Regulators     Release date: Dec 2020     Country: United Kingdom

Type: Supervisory Practice

Parent: Capital Requirements Directive - CRD IV, Capital Requirements - CRD IV/CRR – Frequently Asked Questions

Peer: Assessing Capital Adequacy Under Pillar 2

Topics: Capital adequacy, Credit risk, Market risk, Operational risk, Interest rate risk

Sectors: Banking

Proposals to Enhance Climate-Related Disclosures by Listed Issuers and Clarification of Existing Disclosure Obligations

FCA policy statement for better climate-related financial disclosures

Financial Conduct Authority policy statement, final rule and guidance to promote better climate-related financial disclosures for UK premium listed commercial companies.    

Publisher: National Regulators     Release date: Dec 2020    

Type: Consultative, discussion and issues paper

Topics: Climate change

Sectors: Banking, Insurance, Pensions, Securities

Bank of Canada and OSFI Launch Pilot Project on Climate Risk Scenarios

BoC and OSFI pilot project for banking and insurance sectors

Bank of Canada and the Office of the Superintendent of Financial Institutions pilot project to use climate change scenarios to better understand the risks to the financial system related to a transition to a low-carbon economy. The project aims to: i) build the climate scenario analysis capability of authorities and financial institutions, and support the Canadian financial sector in enhancing the disclosure of climate-related risks; ii) increase authorities' and financial institutions' understanding of the financial sector's potential exposure to risks associated with a transition to a low-carbon economy; and iii) improve authorities' understanding of financial institutions' governance and risk-management practices around climate-related risks and opportunities. 

Publisher: National Regulators     Release date: Nov 2020     Country: Canada

Type: Consultative, discussion and issues paper

Topics: Climate change

Sectors: Banking, Insurance

Deadline for comments: Dec 2020

Supervising Liquidity and Funding Risks

PRA supervisory statement on liquidity risk

UK Prudential Regulation Authority supervisory statement sets out PRA's approach to supervising liquidity and funding risks. Covers its expectations regarding: i) Internal Liquidity Adequacy Assessment Process; ii) Liquidity Supervisory Review and Evaluation Process; iii) drawing down Liquid Asset Buffers; iv) collateral placed at Bank of England; v) daily reporting under stress; and vi) disclosure of Pillar 2 guidance. Updated March 2020.

Publisher: National Regulators     Release date: Mar 2020     Country: United Kingdom

Type: Supervisory Practice

Topics: Liquidity risk and rules, Stress-testing, Recovery and resolution

Sectors: Banking

Strengthening Individual Accountability in Banking

PRA sets out how firms and individuals should comply with its Senior Managers Regime

UK Prudential Regulation Authority supervisory statement sets out the PRA's expectations of how firms should comply with the regulatory framework of: i) the Senior Managers Regime (SMR); ii) the Certification Regime; iii) assessment of fitness and propriety; and iv) Conduct Rules.

Publisher: National Regulators     Release date: Feb 2020     Country: United Kingdom

Type: Supervisory Practice

Topics: Supervisory framework, Corporate governance

Sectors: Banking, Securities

Strengthening Individual Accountability in Insurance

PRA supervisory statement sets out expectations of how firms should comply with its Senior Insurance Managers Regime

UK Prudential Regulation Authority supervisory statement sets out expectations of how firms should comply with the regulatory framework of the Senior Insurance Managers Regime (SIMR) including: i) compliance with the SIMR; ii) application of conduct standards and associated notifications; and iii) assessing fitness and propriety.

Publisher: National Regulators     Release date: Feb 2020     Country: United Kingdom

Type: Supervisory Practice

Topics: Conduct, Corporate governance

Sectors: Insurance

How Reliant Are Banks and Insurers on Cloud Outsourcing?

Results of BoE survey to understand how banks and insurers use the cloud

Bank of England survey results show that banks and insurers mainly use cloud outsourcing to run software and access additional processing capacity or to support IT infrastructure. The survey indicates that banks use cloud outsourcing more widely than insurers. 

Publisher: National Regulators     Release date: Jan 2020     Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Cyber risk, Operational risk

Sectors: Banking, Insurance

UK Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)

PRA supervisory statement on its expectations for firms undertaking an ICAAP and factors it takes into consideration in its SREP

UK Prudential Regulatory Authority updated supervisory statement sets out expectations of firms in relation to: i) undertaking their ICAAP; ii) stress testing, scenario analysis and capital planning; and iii) reverse stress testing. Sets out the factors that the PRA takes into consideration to assess a firm’s ICAAP. Provides further detail in relation to high-level expectations outlined in PRA’s Approach to Banking Supervision.

Publisher: National Regulators     Release date: Jan 2020     Country: United Kingdom

Type: Guideline

Parent: Capital Requirements Directive - CRD IV

Peer: The Prudential Regulation Authority's Approach to Banking Supervision

Topics: Capital adequacy, Stress-testing

Sectors: Banking, Securities

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