National Regulators

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Proposed Revisions to the Regulatory Framework for Large Exposures of Singapore-incorporated Banks

MAS proposed revisions to rules governing large exposures

Monetary Authority of Singapore proposed revisions to its regulatory framework for the maximum allowable credit exposure to a single counterparty or connected group of counterparties. Proposes to tighten the capital base of the large exposure limit, apply the limit to most interbank exposures, and lower the limit on exposures to globally systemically important banks (G-SIBs), among other changes.

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

Type: Consultative, discussion and issues paper

Parent: Supervisory Framework for Measuring and Controlling Large Exposures

Topics: Credit risk, Systemically important financial institutions (SIFIs)

Sectors: Banking

Deadline for comments: Feb 2018

Minimum Requirement for Own Funds and Eligible Liabilities (MREL) - Buffers and Threshold Conditions

PRA supervisory statement on relationship between MREL and regulatory capital buffers and threshold conditions

UK Prudential Regulation Authority supervisory statement regarding relationship between minimum requirement for own funds and eligible liabilities (MREL) and regulatory buffers. Sets out PRA's expectations regarding relationship between MREL and PRA's Threshold Conditions, the minimum requirements that firms must meet in order to be permitted to carry on regulated activities. Role of MREL is to make resolution strategies workable by ensuring that there are equity and liabilities within the firm that can credibly absorb losses and recapitalize businesses that need to continue operating.

Publisher: National Regulators Release date: Dec 2017 Country: United Kingdom

Type: Supervisory Practice

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Minimum Requirement for Own Funds and Eligible Liabilities and Capital Buffers

Topics: Capital adequacy, Recovery and resolution, Licensing

Sectors: Banking

Liquidity Stress Testing by German Asset Managers

BaFin management summary of new guidelines for liquidity stress tests in the context of liquidity risk management

Federal Financial Supervisory Authority of Germany (BaFin) management summary provides overview of report that sets out current industry practice and idiosyncracies of the German asset management market. Report requires that design of liquidity stresses should account appropriately for the business model and size of the asset management company. Reporting and governance policies must be clear and consistent. Stress scenarios and the frequency of monitoring should be suitable to the nature of the individual fund.

Publisher: National Regulators Release date: Dec 2017 Country: Germany

Type: Guideline

Topics: Stress-testing, Liquidity risk and rules, Corporate governance, Transparency and disclosure

Sectors: Securities

HKMA Supervisory Policy on Competence and Ethical Behaviour

HKMA guideline on expected behaviour of bank staff

Hong Kong Monetary Authority guideline emphasizes the importance of the competence and ethical behaviour of staff at all levels within a bank's organizational structure and provides guidance on measures banks are expected to adopt in monitoring and maintaining the competence levels and ethical behaviour of their staff.

Publisher: National Regulators Release date: Dec 2017 Country: Hong Kong, China

Type: Guideline

Peer: Enhanced Competency Framework for Banking Practitioners

Topics: Conduct, Corporate governance

Sectors: Banking

Prudential Framework for Large Exposures

APRA proposed revisions to its prudential framework on large exposures

Australian Prudential Regulation Authority paper sets out revisions to its prudential framework for large exposures for banks. Core components are: i) reference to Tier 1 Capital as a basis for determining large exposures; ii) recalibration of existing large exposure limits, and introduction of a lower limit on D-SIB to D-SIB exposures; and iii) stronger set of requirements for measuring exposures values, and for assessing groups of connected counterparties.

Publisher: National Regulators Release date: Dec 2017 Country: Australia

Type: Consultative, discussion and issues paper

Parent: Bank Recovery and Resolution Directive (BRRD), Supervisory Framework for Measuring and Controlling Large Exposures

Topics: Credit risk

Sectors: Banking

Resolution Planning

BOE-PRA Supervisory Statement setting out details on information that firms should submit to facilitate resolution planning

Bank of England Prudential Regulatory Authority Supervisory Statement setting out details on information that firms should submit to the PRA to facilitate resolution planning. Aimed at firms to which the Resolution Pack Part of the PRA Rulebook applies. Issued pursuant to the PRA's Policy Statement on implementing the EU's Bank Recovery and Resolution Directive.

Publisher: National Regulators Release date: Dec 2017 Country: United Kingdom

Type: Supervisory Practice

Topics: Recovery and resolution

Sectors: Banking, Securities

PRA's Senior Managers Regime

Management responsibility map for senior staff of the PRA

UK Prudential Regulation Authority publication sets out how it applies its Senior Managers Regime applicable to regulated firms to the PRA itself. The Responsibilities Map describes the PRA's management and governance arrangements and shows how responsibilities have been allocated.

Publisher: National Regulators Release date: Dec 2017 Country: United Kingdom

Type: Standard

Peer: FCA's Senior Managers Regime , Strengthening Accountability in Banking

Topics: Supervisory framework, Corporate governance

Sectors: Banking, Insurance

Own Risk and Solvency Assessment

OSFI guideline sets out its expectations with respect to ORSA undertaken by insurers

Office of the Superintendent of Financial Institutions of Canada guideline sets out expectations with respect to the Own Risk and Solvency Assessment (ORSA) of insurers. Insurers are expected to have processes in place to conduct an ORSA that is proportionate to the nature, scale and complexity of their business and risk profile.

Publisher: National Regulators Release date: Dec 2017

Type: Guideline

Peer: Life Insurance Capital Adequacy Test , Regulatory Capital and Internal Capital Targets

Topics: Capital adequacy, Risk management, Corporate governance

Sectors: Insurance

Regulatory Capital and Internal Capital Targets

OSFI guideline sets out its expectations regarding capital and solvency assessment of insurers

Office of the Superintendent of Financial Institutions of Canada guideline sets out its expectations with regard to the capital and solvency assessment of insurers within the context of OSFI's Supervisory Framework.

Publisher: National Regulators Release date: Dec 2017 Country: Canada

Type: Guideline

Peer: Own Risk and Solvency Assessment , Life Insurance Capital Adequacy Test

Topics: Capital adequacy

Sectors: Insurance

Recovery Planning in the UK

PRA expectations on the content of recovery plans

Bank of England Prudential Regulatory Authority's expectations on the content of recovery plans and group recovery plans. Issued pursuant to the PRA's Policy Statement on implementing the EU's Bank Recovery and Resolution Directive.

Publisher: National Regulators Release date: Dec 2017 Country: United Kingdom

Type: Supervisory Practice

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Guidelines on the Range of Scenarios to be Used in Recovery Plans, Guidelines on Recovery Plan Indicators, Recommendation on the Coverage of Entities in a Group Recovery Plan, Content of Recovery Plans, Resolution Plans and Group Resolution Plans

Topics: Recovery and resolution

Sectors: Banking, Securities

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Resources

382 records

Proposed Revisions to the Regulatory Framework for Large Exposures of Singapore-incorporated Banks

Minimum Requirement for Own Funds and Eligible Liabilities (MREL) - Buffers and Threshold Conditions

Liquidity Stress Testing by German Asset Managers

HKMA Supervisory Policy on Competence and Ethical Behaviour

Prudential Framework for Large Exposures

Resolution Planning

PRA's Senior Managers Regime

Own Risk and Solvency Assessment

Regulatory Capital and Internal Capital Targets

Recovery Planning in the UK

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