National Regulators

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PRA's Approach to Enforcement: Statutory Statements of Policy and Procedure

Update of BOE policy first published in 2013

Bank of England (BOE) Prudential Regulation Authority (PRA) policy statement on how it will exercise disciplinary powers over external auditors and actuaries.

Publisher: National Regulators Release date: Mar 2019 Country: United Kingdom

Type: Law, Regulation and Policy

Topics: Accounting, actuarial and auditing , Early intervention and enforcement

Sectors: Banking

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

The Prudential Regulation Authority's Approach to Implementation of the Systemic Risk Buffer

PRA statement of policy on its' approach to implementation of systemic risk buffer

UK Prudential Regulation Authority implementation of the systemic risk buffer (SRB). Framework applies to large banks and specifies set of criteria for assessing the extent to which the failure or distress of an SRB institution might post a long term non-cyclical systemic or macroprudential risk. Creates methodology for measuring the criteria and giving SRB institutions a single score in relation to the criteria with a corresponding SRB rate.

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

Type: Law, Regulation and Policy

Topics: Systemic risk, Systemically important financial institutions (SIFIs), Capital adequacy, Macroprudential

Sectors: Banking

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

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: Nov 2018 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

The UK Leverage Ratio Framework

Supervisory practice for UK leverage ratio framework

UK Prudential Regulatory Authority supervisory statement on UK leverage ratio framework. Sets out PRA's expectations on leverage ratio buffers and reporting and disclosure of the leverage ratio, as well as provides clarification on PRA rules.

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

Type: Supervisory Practice

Peer: Policy on UK Leverage Ratio Framework

Topics: Capital adequacy, Transparency and disclosure, Systemically important financial institutions (SIFIs)

Sectors: Banking

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

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Resources

382 records

PRA's Approach to Enforcement: Statutory Statements of Policy and Procedure

Prudential Standard on Large Exposures

The Bank of England's Approach to Assessing Resolvability

Resolution Assessment and Public Disclosure by Firms

The Prudential Regulation Authority's Approach to Implementation of the Systemic Risk Buffer

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

Prudential Standard on Information Security

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

The UK Leverage Ratio Framework

FCA Mission: Approach to Authorization

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