National Regulators

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Registration and Operation of Peer to Peer Lending Platforms

RBI directive for Non-Bank Financial Companies operating P2P lending platforms

Reserve Bank of India framework for the registration and operation of Non-Bank Financial Companies Peer to Peer Lending Platforms (NBFC-P2Ps), intermediates providing the services of loan facilitation via online medium or otherwise.

Publisher: National Regulators Release date: Feb 2018 Country: India

Type: Implementation

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

Sectors: Banking

Using Technology to Achieve Smarter Regulatory Reporting

FCA consultation on using technology for more efficient regulation

UK Financial Conduct Authority consultation on how technology can make it easier for firms to meet their regulatory reporting requirements and improve the quality of the information they provide. Examines re-shaping current regulatory processes and systems.

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

Type: Consultative, discussion and issues paper

Topics: Compliance function, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Deadline for comments: Jun 2018

Pillar 2 Liquidity Framework

PRA policy on cashflow mismatch risk framework and other means for assessing liquidity risk

UK Prudential Regulation Authority policy on a cashflow mismatch risk (CFMR) framework and other PRA methodologies to assess firms' liquidity risk under Pillar 2.

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

Type: Law, Regulation and Policy

Peer: CRD IV: Liquidity

Topics: Liquidity risk and rules

Sectors: Banking, Securities

Derivatives Sound Practices for Private Pension Plans

OSFI guideline sets out its expectations of regulated private pension plans with respect to their derivative activities

Office of the Superintendent of Financial Institutions of Canada guideline sets out the factors that it expects administrators of federally regulated private pension plans to consider when developing policies and procedures for the sound risk management of derivative activities. Guideline reflects current practices with respect to the risk management of derivative activities, and covers both exchange traded and over-the-counter (OTC) derivatives. Sets out expectations for plan administrators who invest in derivatives indirectly through various types of funds, including pooled funds and hedge funds.

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

Type: Guideline

Topics: Risk management, Derivatives

Sectors: Pensions

PRA on Implementation of Solvency II in the UK

PRA response to Parliamentary Committee on prudential regulation of insurers

UK Prudential Regulation Authority response to UK Parliament's Treasury Committee's report: i) provides overview of the UK insurance industry and rationale for the prudential regulation of insurers; ii) discusses design of Solvency II, how it differs from previous prudential regimes for insurers in the UK, and the impact of Solvency II on insurers; iii) discusses Treasury Committee's recommendations; and iv) responds to policy recommendations in the Committee's report and provides an up date on further developments on other policy issues.

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

Type: Consultative, discussion and issues paper

Parent: Solvency II and its Impact on the UK Insurance Industry

Topics: Capital adequacy

Sectors: Insurance

Prudential Standard on Fit and Proper

APRA standards for individuals holding positions of responsibility in APRA-regulated institutions

Australian Prudential Regulation Authority standard sets out minimum requirements for determining the fitness and propriety of individuals to hold positions of responsibility. Ensures that an institution prudently manages the risks to its business and financial standing posed by individuals who are not fit and proper.

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

Type: Standard

Topics: Corporate governance

Sectors: Banking, Insurance

Probability and Impact Rating System (PAIRS)

APRA explanation of its risk-based supervision framework

Australian Prudential Regulation Authority description of its risk-based supervisory approach incorporating assessments of both the probability and impact of the failure of an APRA-regulated entity. Includes common set of rating components for inherent risk, management and control, and capital support; a structured process for combining component ratings into a probability of failure rating; and an impact rating scale. Reflects the manner in which APRA conducts its supervisory activities under its framework for prudential supervision.

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

Type: Supervisory Practice

Topics: Risk-based supervision, Supervisory framework

Sectors: Banking, Insurance, Pensions

Climate Change and the Macro-Economy

BoE working paper sets out key theoretical and empirical modelling issues in analysis of macroeconomic risks arising from climate change

Bank of England working paper focuses on key theoretical and empirical issues in the analysis of the macroeconomic risks deriving from climate change. Provides an overview of modelling issues, with particular attention to the current treatment of economic damage from climate change.

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

Type: Consultative, discussion and issues paper

Topics: Climate change , Risk management

Sectors: Banking, Insurance

Minimum Requirements on the System of Governance of Insurance Undertakings

BaFin circular sets out minimum governance requirements under the Insurance Supervision Act

Federal Financial Supervisory Authority of Germany (BaFin) circular summarizes minimum requirements based on its interpretation of the Insurance Supervision Act and the European Union's Solvency II Directive. Addresses the overall roles and responsibilities of supervisory boards and management boards.

Publisher: National Regulators Release date: Jan 2018 Country: Germany

Type: Law, Regulation and Policy

Parent: Insurance Supervision Act: Amendment Promulgated in the Federal Law Gazette, Taking-up and Pursuit of the Business of Insurance and Reinsurance (Solvency II)

Topics: Corporate governance, Risk management

Sectors: Insurance

Proposed Guidance on Supervisory Expectations Related to Risk Management for Large Financial Institutions

FRB consultation to clarify supervisory expectations related to risk management for large financial institutions

US Federal Reserve Board proposed guidance identifies core principles for effective senior management, who are directly accountable to the firm's board of directors for the day-to-day management of the firm. Also identifies core principles for a firm's business line management and independent risk management.

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

Type: Consultative, discussion and issues paper

Topics: Risk management, Corporate governance

Sectors: Banking

Deadline for comments: Mar 2018

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Resources

382 records

Registration and Operation of Peer to Peer Lending Platforms

Using Technology to Achieve Smarter Regulatory Reporting

Pillar 2 Liquidity Framework

Derivatives Sound Practices for Private Pension Plans

PRA on Implementation of Solvency II in the UK

Prudential Standard on Fit and Proper

Probability and Impact Rating System (PAIRS)

Climate Change and the Macro-Economy

Minimum Requirements on the System of Governance of Insurance Undertakings

Proposed Guidance on Supervisory Expectations Related to Risk Management for Large Financial Institutions

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