National Regulators

382 records

No records

The Prudential Regulation Authority's Approach to Insurance Supervision

PRA description of how it carries out its prudential regulatory role for insurers

UK Prudential Regulation Authority policy document meets PRA's statutory requirement to issue guidance on how it intends to advance its objectives. Communicates PRA's expectation to regulated insurers and what they can expect from PRA in the course of supervision. Document: i) describes PRA's statutory objectives and its approach to advancing them; ii) outlines how it determines focus of its supervision in identifying key risks to its primary objectives; iii) examines measures that it expects insurers to have in place to ensure their businesses are run in a safe and sound manner; iv) details PRA's supervisory approach; and v) outlines PRA's approach to setting and communicating expectations of insurers.

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

Type: Law, Regulation and Policy

Peer: Financial Management and Planning by Insurers

Topics: Supervisory framework, Risk-based supervision, Corporate governance, Capital adequacy, Transparency and disclosure

Sectors: Insurance

A Community Bank Director's Guide to Corporate Governance

How the FDIC Pocket Guide for Directors applies to small banks

Federal Deposit Insurance Corporation special corporate governance edition of its Supervisory Insights series addresses how its Pocket Guide for Directors and other guidance relates to corporate governance and strategic planning at smaller, simpler banks. Discusses key governance concepts, roles, and responsibilities of directors and senior management at such banks, and discusses how FDIC examiners evaluate governance at those banks. A list of resources, with links to regulations, guidance, and training materials, is included.

Publisher: National Regulators Release date: Oct 2018 Country: United States

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Supervisory framework

Sectors: Banking

FCA Approach to Competition

FCA report sets out its approach to promoting competition in the interests of consumers

UK Financial Conduct Authority report sets out its approach to promoting competition, one of core objectives. Describes the FCA's role in promoting competition and its decision-making framework for identifying potential harm, diagnosing and remedying features of a market that do not work well for consumers, and evaluating the success of those remedies to inform our future decisions.

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

Type: Consultative, discussion and issues paper

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

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

Sectors: Banking, Insurance, Pensions, Securities

E-Payments User Protection Guidelines

MAS guidelines to protect consumers of e-payment services

Monetary Authority of Singapore guidelines standardize protection offered to individuals or micro-enterprises from losses arising from unauthorized or mistaken payment transactions from their protected accounts. Covers: i) liability caps to clarify the amounts that the account user and the financial institution are liable for in any unauthorized payment transaction; ii) notification duties of account users and financial institutions for all payment transactions; and iii) resolution processes for both unauthorized payment transactions and mistaken payment transactions.

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

Type: Guideline

Topics: Consumer education and protection, Conduct

Sectors: Banking

Transition in Thinking: The Impact of Climate Change on the UK Banking Sector

PRA report examines impact of financial risks from climate change on banks

UK Prudential Regulation Authority report examines: i) financial risks from climate change that impact banks; ii) assesses how banks are responding to and managing those risks; and iii) helps banks to understand the PRA's supervisory approach.

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

Type: Consultative, discussion and issues paper

Topics: Climate change , Transparency and disclosure, Corporate governance

Sectors: Banking

Outsourcing Involving Cloud Computing Services

APRA information paper explores the use of shared computing services

Australian Prudential Regulation Authority information paper provides overview of cloud computing, its benefits and risks, and APRA's supervisory approach.

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

Type: Consultative, discussion and issues paper

Topics: Operational risk, Risk management

Sectors: Banking, Insurance, Pensions

Corporate Governance Guideline

OSFI revised guidelines set out expectations for boards of directors of federally regulated financial institutions

Office of the Superintendent of Financial Institutions of Canada revised Corporate Governance Guidelines. Address role of the Board of Directors and its Audit Committee, and risk governance. Revised guidelines provide boards with greater discretion on how they meet the guidelines' principles, taking into account the institution's size, nature of operations and risk profile and make a clearer delineation between board and senior management responsibilities.

Publisher: National Regulators Release date: Sep 2018 Country: Canada

Type: Guideline

Topics: Corporate governance, Risk management

Sectors: Banking, Insurance

Guidelines on Liquidity Risk Management Practices for Fund Management Companies

MAS guidelines for fund management companies with respect to collective investment schemes

Monetary Authority of Singapore guidelines on liquidity risk management framework for fund management companies (FMCs) with respect to collective investment schemes (CIS). Provides guidance on sound practices in liquidity risk management of CIS to address the risks to investors from liquidity mismatches between the CIS' portfolio liquidity and redemption terms. Guidelines accord proportionality to FMCs in implementing the liquidity risk management practices in line with their roles in managing the CIS, the business models and fund structures that they employ.

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

Type: Guideline

Topics: Liquidity risk and rules, Risk management, Corporate governance, Transparency and disclosure

Sectors: Securities

HKMA Mystery Shopping Program

HKMA mystery shopping program on banks' selling practices in respect of investment products and insurance products

Hong Kong Monetary Authority mystery shopping program to ascertain the practices of banks in customer risk profiling, financial needs analysis (as applicable to life insurance products), suitability of recommendations, and product and risk disclosure. A good example of an effective supervisory technique for promoting consumer protection and improved corporate governance.

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

Type: Supervisory Practice

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

Sectors: Banking

Global Financial Innovation Network (GFIN)

FCA consultation sets out plan for a new "global sandbox" to enable innovative firms to interact with regulators around the world

UK Financial Conduct Authority consultation to create a global sandbox or Global Financial Innovation Network (GFIN) to provide a more efficient way for innovative firms to interact with regulators. Three main functions of the proposed GFIN would be: i) to act as a network of regulators to collaborate and share experiences of innovation in respective markets, including emerging technologies and business models; ii) to provide a forum for joint policy work and discussions; and iii) to provide firms with an environment in which to trial cross-border solutions .

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

Type: Consultative, discussion and issues paper

Topics: Cross-border cooperation, FinTech, Financial inclusion

Sectors: Banking, Insurance, Securities

Display # Page 3 of 31 Total: 301

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

Resources

382 records

The Prudential Regulation Authority's Approach to Insurance Supervision

A Community Bank Director's Guide to Corporate Governance

FCA Approach to Competition

E-Payments User Protection Guidelines

Transition in Thinking: The Impact of Climate Change on the UK Banking Sector

Outsourcing Involving Cloud Computing Services

Corporate Governance Guideline

Guidelines on Liquidity Risk Management Practices for Fund Management Companies

HKMA Mystery Shopping Program

Global Financial Innovation Network (GFIN)

Browse by Category

TC Notes

Sector

Topic

Country

Resource Type

Year Released

Publisher Type