National Regulators

382 records

No records

Actuarial and Related Matters

APRA requirements for Appointed Actuaries within general, life and private health insurers

Australian Prudential Regulation Authority prudential standard sets out requirements for insurers to appoint an actuary and to establish a framework for the provision of actuarial advice. It also sets out the functions of the Appointed Actuary role.

Publisher: National Regulators Release date: Jul 2019 Country: Australia

Type: Standard

Topics: Actuarial, Corporate governance

Sectors: Insurance

Deadline for comments: Dec 2017

Prudential Standard on Large Exposures

APRA standard on large exposures for banks

Australian Prudential Regulation Authority prudential standard requires banks to implement prudent measures and to set prudent limits to monitor and control their large exposures and risk concentrations. Key requirements are that banks must: i) have a board approved policy that governs large exposures and risk concentrations; ii) have adequate systems and controls to identify, measure, monitor and report large exposures and risk concentrations; iii) identify large exposures, including identifying a group of connected counterparties; iv) ensure large exposures meet the large exposure limit; and v) measure exposure values for large exposure purposes using specified treatments.

Publisher: National Regulators Release date: Jan 2019 Country: Australia

Type: Standard

Topics: Credit risk, Risk management, Corporate governance

Sectors: Banking

The Bank of England's Approach to Assessing Resolvability

BoE proposal to introduce new Resolvability Assessment Framework

Bank of England consultation sets out: i) how the Bank proposes to assess resolvability as part of the Resolvability Assessment Framework; ii) how the Bank proposes to treat transparency over the resolvability of individual firms by making a public statement on resolvability; and iii) a draft statement of policy setting out policy where the Bank is consulting on new requirements for firms.

Publisher: National Regulators Release date: Dec 2018 Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Transparency and disclosure, Recovery and resolution

Sectors: Banking

Deadline for comments: Apr 2019

Resolution Assessment and Public Disclosure by Firms

PRA proposed rules for large banks

UK Prudential Regulation Authority consultation sets out proposed rules for large UK banks. Proposed rules would require banks to: i) carry out realistic assessment of preparations for resolution; ii) include analysis of how it understands it would be resolved; iii) submit an assessment report to the PRA every two years; and iv) publicly disclose summaries of its report.

Publisher: National Regulators Release date: Dec 2018 Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

Deadline for comments: Apr 2019

Principles to Promote Fairness, Ethics, Accountability and Transparency in the Use of Artificial Intelligence and Data Analytics

MAS guidance on the responsible use of artificial intelligence and data analytics

Monetary Authority of Singapore principles provide guidance to firms offering financial products and services on the responsible use of artificial intelligence and data analytics to strengthen internal governance around data management and use.

Publisher: National Regulators Release date: Nov 2018 Country: Singapore

Type: Consultative, discussion and issues paper

Topics: Cyber risk, FinTech, Corporate governance

Sectors: Banking, Insurance, Pensions, Securities

Prudential Standard on Information Security

APRA prudential requirements for addressing cyber risk and other information security threats

Australian Prudential Regulation Authority standard to minimize the likelihood and impact of information security incidents on the confidentiality, integrity or availability of information assets, including those managed by related parties or third parties.

Publisher: National Regulators Release date: Nov 2018 Country: Australia

Type: Standard

Topics: Cyber risk, FinTech, Operational risk

Sectors: Banking, Insurance, Pensions

FCA Mission: Approach to Authorization

FCA report sets out its approach to authorizations

UK Financial Conduct Authority report sets out its approach to authorizations. Sets out the conditions that firms and individuals must meet to be authorized, how the FCA evaluates whether firms and individuals meet the conditions, how authorizations promote competition, and how the effectiveness of authorization decisions are evaluated.

Publisher: National Regulators Release date: Nov 2018 Country: United Kingdom

Type: Consultative, discussion and issues paper

Peer: FCA Approach to Competition, FCA Mission: Approach to Consumers

Topics: Consumer education and protection, Transparency and disclosure, Financial inclusion, Conduct, Licensing

Sectors: Banking, Insurance, Pensions, Securities

Rules on Loss-Absorbing Capacity Requirements for Banks

HKMA rules on bank loss-absorbing capital requirements to support orderly failure resolution

Hong Kong Monetary Authority rules impose requirement on banks to maintain a minimum level of loss-absorbing capacity (LAC) to facilitate orderly failure resolution. Sets out the relationship between regulatory capital and LAC, external and internal (within group) LAC requirements, LAC eligibility criteria, restrictions on the sale and distribution of LAC debt instruments, a minimum debt requirement, and reporting and disclosure requirements.

Publisher: National Regulators Release date: Oct 2018 Country: Hong Kong, China

Type: Law, Regulation and Policy

Topics: Capital adequacy, Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

Guidelines on Provision of Digital Advisory Services

MAS guidelines on characteristics and risks of digital advisory services

Monetary Authority of Singapore guideline sets out its assessment of the unique characteristics of and risks posed by digital advisory services (also known as robo-advisors), along with regulatory expectations.

Publisher: National Regulators Release date: Oct 2018 Country: Singapore

Type: Guideline

Topics: Financial inclusion, Consumer education and protection, Corporate governance, Transparency and disclosure, Operational risk

Sectors: Banking, Securities

Notice on Risk Based Capital Adequacy Requirements for Banks in Singapore

MAS notice establishes minimum capital adequacy ratios for banks and the methodology to calculate the ratios

Monetary Authority of Singapore notice establishes minimum capital adequacy ratios for banks and the methodology they must use to calculate these ratios (Pillar 1). Provides a range of approaches for calculating regulatory capital based on the complexity and sophistication of a bank's businesses and operations. Requires banks to consider whether they have adequate capital to cover exposure to all risks and sets out MAS expectations for bank's internal capital adequacy assessment process (Pillar 2). Specifies minimum disclosure requirements in relation to capital adequacy.

Publisher: National Regulators Release date: Oct 2018 Country: Singapore

Type: Law, Regulation and Policy

Parent: Basel III Leverage Ratio Framework and Disclosure Requirements, Revisions to the Basel III Leverage Ratio Framework

Peer: Risk Based Capital Adequacy Requirements

Topics: Capital adequacy, Credit risk, Market risk, Operational risk, Securitization, Transparency and disclosure

Sectors: Banking

Display # Page 1 of 30 Total: 300

Start
Prev
1
2
3
4
5
6
7
8
9
10
Next
End

Resources

382 records

Actuarial and Related Matters

Prudential Standard on Large Exposures

The Bank of England's Approach to Assessing Resolvability

Resolution Assessment and Public Disclosure by Firms

Principles to Promote Fairness, Ethics, Accountability and Transparency in the Use of Artificial Intelligence and Data Analytics

Prudential Standard on Information Security

FCA Mission: Approach to Authorization

Rules on Loss-Absorbing Capacity Requirements for Banks

Guidelines on Provision of Digital Advisory Services

Notice on Risk Based Capital Adequacy Requirements for Banks in Singapore

Browse by Category

TC Notes

Sector

Topic

Country

Resource Type

Year Released

Publisher Type