Toronto Centre

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Risk-Based Supervision

TC Note sets out main features of RBS

Toronto Centre note provides a high-level overview of risk-based supervision (RBS) for all regulators and supervisors. Describes the principle features of RBS and the main operational and managerial issues that supervisors encounter when moving to a risk-based framework. Discusses: i) characteristics of RBS; ii) principles of RBS; iii) risk-based process; iv) documentation; v) peer review and quality assurance; vi) cultural and managerial challenges; and vii) use of RBS across sectors.

Publisher: Toronto Centre Release date: Mar 2018

Type: TC Notes

Peer: The Development and Use of Risk Based Assessment Frameworks , Turning Risk Assessments Into Supervisory Actions , Implementing Risk Based Supervision: A Guide for Senior Managers

Topics: Risk-based supervision

Sectors: Banking, Insurance, Pensions, Securities

FinTech, RegTech and SupTech: What They Mean for FInancial Supervision

TC webinar discusses issues relating to technology and supervision

Toronto Centre webinar discusses: i) ongoing FinTech revolution that is reshaping the financial services industry; ii) how FinTech, RegTech and SupTech have been developing, and how financial supervision and risk management are, in turn, being transformed; iii) key technologies and their potential uses in RegTech and SupTech; and iv) how key technologies could help improve supervision and allow new supervisory approaches.

Publisher: Toronto Centre Release date: Feb 2018

Type: TC Videos

Topics: Financial inclusion, Financial market infrastructure, Supervisory framework, Supervisory structures, FinTech

Sectors: Banking, Insurance, Securities

Advancing Women's Digital Financial Inclusion

TC Note describes how financial authorities can promote women's digital financial inclusion

Toronto Centre note examines constraints on women's access to financial services and the promise of digital financial services for overcoming them. It describes what financial authorities can to do foster women's digital financial inclusion in the context of their mandates to ensure a sound and enabling regulatory and supervisory framework.

Publisher: Toronto Centre Release date: Jan 2018

Type: TC Notes

Topics: Gender equality, Financial inclusion

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

Financial Literacy

TC Note discusses how financial literacy relates to financial sector policy objectives

Toronto Centre note to guide supervisors toward making appropriate choices when considering possible regulations, supervisory actions, or other steps that might be taken in the context of their particular circumstances. Note discusses: i) various dimensions of financial literacy; ii) barriers that consumers might face in achieving financial literacy; iii) how financial literacy can affect the achievement of supervisory objectives; iv) steps supervisors might need to take to achieve their objectives if the level of financial literacy is low; and v) roles supervisors can play in strengthening financial literacy.

Publisher: Toronto Centre Release date: Jan 2018

Type: TC Notes

Topics: Consumer education and protection, Financial inclusion, Conduct

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

Climate Change: The Challenges for Institutional Investors and Regulators

TC webcast on climate change and its impact on global capital markets

Toronto Centre executive panel video discusses climate change and its impact on global financial markets.

Publisher: Toronto Centre Release date: Dec 2017

Type: TC Videos

Topics: Climate change , Risk management, Cyber risk, Operational risk, FinTech

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

Financial Inclusion Regulation: Challenges for Emerging Market Economies and Developing Countries

TC panel session discusses financial regulation in the context of promoting financial inclusion

Toronto Centre executive panel session discusses: i) local and international sound regulatory and supervisory practices, including consumer protection; ii) international coordination: UN 2030 Sustainable Development Goals, Addis Ababa Action Agenda, and international standard setting bodies including SDG 5; iii) challenges and opportunities presented by digital finance, including gender equality and empowering women and girls in developing countries; and iv) financing for sustainable and inclusive growth.

Publisher: Toronto Centre Release date: Dec 2017

Type: TC Videos

Topics: Financial inclusion, FinTech

Sectors: Microfinance

Gender Diversity in Finance: Where Are We Today?

TC video on the status of gender diversity in the financial sector

Toronto Centre video discusses the challenges of increasing gender diversity in the financial services industry.

Publisher: Toronto Centre Release date: Nov 2017

Type: TC Videos

Topics: Gender equality, Financial inclusion

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

Regulatory Sandboxes

TC note on the use of regulatory sandboxes as a means to pilot financial inclusion

Toronto Centre note explains key concept underlying regulatory sandboxes and highlights recent developments worldwide in their use for testing financial innovations that may not adhere neatly to existing regulatory frameworks. It discusses possible sandbox objectives, different sandbox operating models, and potential benefits and risks. It seeks to help authorities to identify issues that need to be taken into consideration when making decisions on creating, designing and operating a regulatory sandbox.

Publisher: Toronto Centre Release date: Oct 2017

Type: TC Notes

Peer: Modernizing Digital Financial Regulation, FCA Regulatory Sandbox, FinTech: Considerations on How to Enable a 21st Century Financial Services Ecosystem, Regulating a Revolution: From Regulatory Sandboxes to Smart Regulation

Topics: Financial inclusion, Compliance function, Operational risk, Transparency and disclosure, FinTech

Sectors: Securities, Insurance

FinTech: A Game Changer for Financial Inclusion and Gender Equality

TC executive panel discusses how FinTech can promote financial inclusion and gender equality

Toronto Centre executive panel session at the IMF-World Bank Annual Meetings discusses implication of FinTech in promoting financial inclusion and gender equality as well as the role of financial regulators/supervisors, governments, international institutions and agencies, private sector participants, researchers and other stakeholders.

Publisher: Toronto Centre Release date: Oct 2017

Type: TC Videos

Topics: FinTech, Financial inclusion, Gender equality

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

Technology: New Challenges and Tools for Financial Supervision

TC Spanish-language webcast on the transformative effect of technology on the financial services industry and supervision

Toronto Centre Spanish-language webcast focuses on how technological innovation is transforming the financial services industry and its supervision. Discusses how the development of digital financial services is advancing the financial inclusion objectives through creating new challenges and new sources of risks, and how technology is bringing new tools that support the monitoring of risks and compliance work carried out by supervisors.

Publisher: Toronto Centre Release date: Oct 2017

Type: TC Videos

Topics: Operational risk, Risk management, Compliance function, Supervisory framework

Sectors: Banking, Insurance, Microfinance, Microinsurance, Pensions, Securities

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Resources

382 records

Risk-Based Supervision

FinTech, RegTech and SupTech: What They Mean for FInancial Supervision

Advancing Women's Digital Financial Inclusion

Financial Literacy

Climate Change: The Challenges for Institutional Investors and Regulators

Financial Inclusion Regulation: Challenges for Emerging Market Economies and Developing Countries

Gender Diversity in Finance: Where Are We Today?

Regulatory Sandboxes

FinTech: A Game Changer for Financial Inclusion and Gender Equality

Technology: New Challenges and Tools for Financial Supervision

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