2016

382 records

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Assessment of Basel III G-SIB Framework and Review of D-SIB Frameworks - European Union

BCBS findings on adoption of the Basel G-SIB framework in the EU

Basel Committee on Banking Supervision report summarizes findings of Regulatory Consistency Assessment Programme (RCAP) assessment team on domestic adoption of Basel global systemically important bank (G-SIB) framework in the European Union (EU). Assessment looked at consistency and completeness of EU regulations with Basel Committee's minimum requirements.

Publisher: Global Standard-Setting Bodies Release date: Jun 2016

Type: Implementation

Parent: Global Systemically Important Banks: Updated Assessment Methodology and the Higher Loss Absorbency Requirement

Topics: Systemically important financial institutions (SIFIs)

Sectors: Banking

Survey Report on Audit Committee Oversight of Auditors

IOSCO report to identify practices to improve quality of audits at publicly listed entities

International Organization of Securities Commissions report summarizes results of survey of IOSCO members about existing legal, regulatory and other requirements related to audit committee oversight of auditors and audit processes of domestically publicly-listed entities. Sets out audit committee requirements in various jurisdictions.

Publisher: Global Standard-Setting Bodies Release date: May 2016

Type: Consultative, discussion and issues paper

Topics: Accounting, actuarial and auditing , Corporate governance

Sectors: Securities

HKMA Supervisory Policy - Supervision of Regulated Activities of SFC-Registered Banks

HKMA revision to Supervisory Policy Manual addressing bank securities activities

Hong Kong Monetary Authority revision to its Supervisory Policy Manual applicable to regulated activities of banks registered with the Securities and Futures Commission under the Securities and Futures Ordinance.

Publisher: National Regulators Release date: May 2016 Country: Hong Kong, China

Type: Supervisory Practice

Topics: Supervisory framework, Early intervention and enforcement, Corporate governance, Consumer education and protection

Sectors: Banking, Securities

Thematic Review on the Implementation of the FSB Policy Framework for Shadow Banking Entities

FSB consultation sets out progress in implementing policy framework and main findings of the review

Financial Stability Board peer review sets out principles that authorities should adhere to in their oversight of non-bank financial entities posing financial stability risks from shadow banking. These principles involve: i) defining and updating the regulatory perimeter; ii) collecting information and assessing shadow banking risks; iii) enhancing public disclosure to help market participants understand these risks; iv) adopting appropriate policy tools to mitigate identified risks; and v) participating in an information-sharing exercise within the FSB on assessments and tools.

Publisher: Global Standard-Setting Bodies Release date: May 2016

Type: Consultative, discussion and issues paper

Topics: Shadow banking, Systemic risk

Sectors: Banking, Insurance, Pensions, Securities

Opportunities for Mobile Financial Services to Engage Underserved Consumers

FDIC consultation sets out how mobile banking can benefit underserved customers

Federal Deposit Insurance Corporation consultation discusses how mobile banking can benefit customers who are either unbanked or underbanked. Sets out strategies for banks to meet needs of underserved customers. Identifies seven core financial services needs of such consumers: i) control over finances; ii) access to money; iii) convenience; iv) affordability; v) security; vi) customer service; and vii) long-term financial management.

Publisher: National Regulators Release date: May 2016 Country: United States

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Consumer education and protection

Sectors: Banking

Guidelines on Stress Tests of Deposit Guarantee Schemes

EBA final guidelines to assess funding capabilities of DGSs

European Banking Authority final guidelines on stress tests of deposit guarantee schemes (DGSs). Provides methodological principles to assess whether operational and funding capabilities of DGSs are sufficient to ensure deposit protection in event of a bank failure.

Publisher: Regional Standard-Setting Bodies Release date: May 2016

Type: Guideline

Peer: EU Deposit Guarantee Scheme Directive

Topics: Deposit insurance, Stress-testing

Sectors: Banking

The Impact of Climate Change on Central Banks

BoE discussion paper examines how climate change might affect central banks' ability to meet their objectives

Bank of England discussion paper looks at ways by which climate change and climate change mitigation policies might affect ability of central bank to meet monetary and financial stability objectives. Discusses two main risks: i) weather-related disaster could trigger financial and macroeconomic instability; and ii) sudden and unexpected tightening of carbon emission policies could lead to disorderly re-pricing of carbon-intensive assets.

Publisher: National Regulators Release date: May 2016 Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Stress-testing, Risk management, Climate change

Sectors: Banking

Implementing Audit Committee Requirements Under the Revised Statutory Audit Directive

PRA policy statement provides feedback about recent consultative draft

UK Prudential Regulation Authority policy statement sets out final rules to implement audit committee requirements of Article 39 of EU Statutory Audit Directive for firms that are regulated by PRA. Clarifies policy intent for: i) PRA's approach to independence; ii) clarification of expectations regarding competence; iii) aspects of audit committee functions; and iv) how audit committee requirement will operate alongside Senior Managers Regime (SMR) and Senior Insurance Managers Regime (SIMR).

Publisher: National Regulators Release date: May 2016 Country: United Kingdom

Type: Law, Regulation and Policy

Topics: Accounting, actuarial and auditing , Corporate governance

Sectors: Insurance

Markets in Financial Instruments Regulation - MiFID II

EU regulatory framework directly applicable in all EU member states

European Union regulatory framework directly applicable in all EU jurisdictions and not requiring transposition into national law.

Publisher: Regional Standard-Setting Bodies Release date: May 2016

Type: Law, Regulation and Policy

Peer: Markets in Financial Instruments Directive - MiFID II

Topics: Capital adequacy, Liquidity risk and rules, Corporate governance, Risk management, Transparency and disclosure, Systemically important financial institutions (SIFIs)

Sectors: Banking, Insurance, Pensions, Securities

Net Stable Funding Ratio

FDIC liquidity risk measurement standards and disclosure requirements

US Federal Deposit Insurance Corporation proposed rule to implement net stable funding ratio for large and internationally active banking organizations. Banks would be required to maintain minimum level of stable funding relative to liquidity of their assets, derivatives and commitments, over a one year period. Rule is proposed by FDIC, Federal Reserve and Office of the Comptroller of the Currency.

Publisher: National Regulators Release date: May 2016 Country: United States

Type: Consultative, discussion and issues paper

Topics: Liquidity risk and rules

Sectors: Banking

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Resources

382 records

Assessment of Basel III G-SIB Framework and Review of D-SIB Frameworks - European Union

Survey Report on Audit Committee Oversight of Auditors

HKMA Supervisory Policy - Supervision of Regulated Activities of SFC-Registered Banks

Thematic Review on the Implementation of the FSB Policy Framework for Shadow Banking Entities

Opportunities for Mobile Financial Services to Engage Underserved Consumers

Guidelines on Stress Tests of Deposit Guarantee Schemes

The Impact of Climate Change on Central Banks

Implementing Audit Committee Requirements Under the Revised Statutory Audit Directive

Markets in Financial Instruments Regulation - MiFID II

Net Stable Funding Ratio

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