National Regulators

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Extending the Senior Managers & Certification Regime to FCA Firms

FCA consultation to extend the Senior Managers & Certification Regime to most regulated firms

UK Financial Conduct Authority policy statement reports on main issues arising from consultations to strengthen individual accountability in regulated firms by extending the Senior Managers & Certification Regime (SM&CR) to almost all regulated firms in order to reduce harm to consumers and increase accountability. Also incorporates near-final rules.

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

Type: Consultative, discussion and issues paper

Parent: FCA's Senior Managers Regime

Topics: Supervisory framework, Corporate governance, Conduct

Sectors: Banking, Insurance, Pensions, Securities

Building the UK Financial Sector's Operational Resilience

BoE, PRA and FCA discussion paper on supervisory authorities' view on operational resilience

Bank of England, Prudential Regulation Authority and Financial Conduct Authority discussion paper focuses on the operational resilience of the financial system and the individual firms and financial market infrastructures (FMIs) within it. Paper seeks to commence a dialogue with the financial services industry on improving the operational resilience of firms and FMIs.

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

Type: Consultative, discussion and issues paper

Topics: Operational risk, Financial market infrastructure, Cyber risk

Sectors: Banking, Insurance, Securities

Browsing to Borrow: "Mom & Pop" Small Business Perspectives on Online Lenders

FRB report examines small business owners' perceptions of online lenders

US Federal Reserve Board and Federal Reserve Board of Cleveland report gauges small business owners' perceptions of online lenders and their understanding and interpretation of information online lenders use to describe their credit products. Key findings include: i) participants are already familiar with online lending; ii) participants prefer websites with detailed product information; and iii) participants found sample online products confusing.

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

Type: Consultative, discussion and issues paper

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

Sectors: Banking

Algorithmic Trading

PRA's final statement on firm's governance and risk management of algorithmic trading

UK Prudential Regulation Authority policy statement sets out expectations in respect of a firm's algorithmic trading activities with respect to: i) governance; ii) algorithm approval process (by the firm); iii) testing and deployment; iv) inventories and documentation; and v) risk management and other systems and controls functions.

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

Type: Consultative, discussion and issues paper

Topics: Risk management, Corporate governance

Sectors: Banking, Securities

Single-Counterparty Credit Limits for Bank Holding Companies and Foreign Banking Organizations

FRB rule to address risks associated with large credit exposures

US Federal Reserve Board addresses credit exposures of large banking organizations to a single counterparty. Rule increases in stringency based on the systemic importance of firms to which they apply.

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

Type: Law, Regulation and Policy

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

Sectors: Banking

The Bank of England's Policy on Valuation Capabilities to Support Resolvability

BoE statement of policy valuations to support resolvability

Bank of England consultation sets out policy for the capabilities firms should have in place to ensure that an inability to produce timely and robust resolution valuations does not impede resolvability. Policy addresses the data, systems, and processes that collectively support valuations of a firm's assets, liabilities and equity.

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

Type: Law, Regulation and Policy

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

Sectors: Banking

Financial Management and Planning by Insurers

PRA policy statement on effective management and planning by insurance firms and groups

United Kingdom Prudential Regulation Authority policy statement sets out how the application of effective risk management and governance is linked to the need for insurers to maintain a sound financial condition going forward. Sets out the PRA's expectations on financial management and planning by insurers.

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

Type: Supervisory Practice

Topics: Risk management, Corporate governance

Sectors: Insurance

Proposed Enhancements to Singapore's Deposit Insurance and Policy Owners' Protection Schemes

Response to feedback received on MAS' recommendations to enhance the deposit insurance and insurance policy holder protections scheme in Singapore

Monetary Authority of Singapore report sets out responses to feedback received on MAS' consultations on proposed enhancements to the deposit insurance scheme and policy owners' protection scheme. Report covers: i) strengthening depositor protection; ii) policy owners protection (PPF) general scheme; iii) PPF life scheme; and iv) enhancing operational effectiveness of the deposit insurance scheme and PPF scheme.

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

Type: Consultative, discussion and issues paper

Topics: Deposit insurance, Policyholder protection plans

Sectors: Banking

Prudential Practice Guide on Risk Management

APRA sound practice outlines prudent practices related to risk management

Australian Prudential Regulation Authority sound practice assists APRA-regulated institutions in complying with its Prudential Standard on Risk Management and outlines prudent practices in relation to risk management. Discusses: i) risk governance; ii) risk management culture; iii) risk management framework; iv) risk appetite; and v) risk management strategy.

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

Type: Sound Practice

Topics: Risk management, Corporate governance, Compliance function

Sectors: Banking, Insurance

Groups Policy and Double Leverage

Results of PRA's review of its policy framework for assessing risks emanating from a regulated institution's group

UK Prudential Regulation Authority policy statement requires: i) assessment and mitigation of the risks to group resilience to the use of "double leverage"; ii) assessment and mitigation of the risks highlighted by prudential requirements applied by local regulatory authorities on overseas subsidiaries of UK groups; and iii) improved monitoring of the distribution of financial resources across different group entities. Updates the PRA's approach to the Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP), its methodologies for setting Pillar 2 capital and its approach to supervising funding and liquidity risks.

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

Type: Consultative, discussion and issues paper

Topics: Capital adequacy, Recovery and resolution, Liquidity risk and rules

Sectors: Banking

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Resources

382 records

Extending the Senior Managers & Certification Regime to FCA Firms

Building the UK Financial Sector's Operational Resilience

Browsing to Borrow: "Mom & Pop" Small Business Perspectives on Online Lenders

Algorithmic Trading

Single-Counterparty Credit Limits for Bank Holding Companies and Foreign Banking Organizations

The Bank of England's Policy on Valuation Capabilities to Support Resolvability

Financial Management and Planning by Insurers

Proposed Enhancements to Singapore's Deposit Insurance and Policy Owners' Protection Schemes

Prudential Practice Guide on Risk Management

Groups Policy and Double Leverage

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