2016

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Second Thematic Review on Resolution Regimes

FSB peer review report supports implementation of Key Attributes of Effective Resolution Regimes

Financial Stability Board peer review examines resolution powers available to authorities in FSB jurisdictions and requirements for recovery and resolution plans and resolvability assessments for domestically incorporated banks. Main findings: i) only a small number of FSB members have a bank resolution regime in line with Key Attributes; ii) coverage of bank holding companies is variable across FSB jurisdictions; iii) conditions for use of resolution powers varies across FSB jurisdictions; and iv) progress made to set up processes for recovery planning. Review makes recommendations to fully implement Key Attributes.

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

Type: Consultative, discussion and issues paper

Parent: Key Attributes of Effective Resolution Regimes for Financial Institutions

Topics: Recovery and resolution, Cross-border cooperation

Sectors: Banking, Insurance, Securities

Regulatory Barriers to Innovation in Digital and Mobile Solutions

FCA statement on feedback on 2015 consultative document and next steps

Financial Conduct Authority summary of feedback on its June 2015 consultation on Regulatory Barriers to Innovation in Digital and Mobile Solutions. Provides its responses to feedback and intended next steps in context of wider Project Innovate agenda. Stakeholders identified barriers to greater use of innovative digital and mobile technology.

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

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Financial inclusion

Sectors: Banking, Insurance

Risk Management Procedures for Non-Centrally Cleared OTC Derivatives

EBA, EIOPA and ESMA standard sets out framework of European Market Infrastructure Regulation

European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority final draft Regulatory Technical Standards (RTS) aim to increase safety of OTC derivatives markets in EU. Standards cover risk mitigation techniques related to exchange of collateral to cover exposures arising from non-centrally cleared over-the-counter (OTC) derivatives. Specify criteria concerning intragroup exemptions and definitions of practical and legal impediments to prompt transfer of funds between counterparties.

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

Type: Standard

Topics: Systemic risk, Risk management

Sectors: Banking, Insurance, Pensions, Securities

Standardised Measurement Approach for Operational Risk

BCBS consultation proposes revisions to framework for operational risk

Basel Committee on Banking Supervision consultation sets out revisions to the proposed framework for operational risk. Specifically, it recommends removing the Advanced Measurement Approach (AMA) from the regulatory framework. Revised framework will be based on Standardized Measurement Approach (SMA), which is a single non-model-based approach to estimate operational risk capital.

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

Type: Consultative, discussion and issues paper

Topics: Operational risk, Capital adequacy

Sectors: Banking

Global Standard Setting Bodies and Financial Inclusion - The Evolving Landscape

2nd GPFI White Paper on international standard setting bodies and financial inclusion

Global Partnership for Financial Inclusion White Paper aims to raise awareness of the changing financial landscape, to inform ongoing work by the international standard setting bodies and other global bodies, and to promote the integration of financial inclusion objectives into internationally agreed standards and guidance that can be applied effectively at the country level. Discusses new challenges poses by digitization of financial services. Examines standards and guidance issued by organizations working with financial inclusion, specifically the Financial Stability Board, Basel Committee on Banking Supervision, Committee on Payments and Market Infrastructures, Financial Action Task Force, International Association of Deposit Insurers and the International Organization of Securities Commissions.

Publisher: International Organizations Release date: Mar 2016

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Consumer education and protection

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

Financial Regulations for Improving Financial Inclusion

Regulatory principles and related reforms to enable new innovations in digital finance

Center for Global Development discussion paper focuses on regulatory issues to improve financial inclusion. Changes are needed to enable adoption and adaption of new innovations in digital finance in order for new technologies to benefit the poor. Progress in improving financial inclusion must be compatible with traditional mandates of financial regulation and supervision: i) safeguarding stability of financial system; ii) maintaining its integrity; and iii) consumer protection.

Publisher: Others Release date: Mar 2016

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Consumer education and protection

Sectors: Banking

FCA's Senior Managers Regime

Report on governance arrangements at the Financial Conduct Authority

UK Financial Conduct Authority publication sets out how it applies its Senior Managers Regime applicable to regulated firms to the FCA itself. Includes description of core responsibilities of members of FCA's Board, Executive Committee and those carrying out Senior Management Functions, as contained within the FCA Statements of Responsibility and the FCA Management Responsibilities Map.

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

Type: Standard

Peer: Extending the Senior Managers & Certification Regime to FCA Firms

Topics: Supervisory framework, Corporate governance

Sectors: Banking, Insurance

What Does Financial Inclusion Mean for Women and Girls Today?

MIcrofinance Gateway discussion paper on innovations to close the gender gap

Microfinance Gateway discussion paper about progress that Women's World Banking and other organizations have made. Advocates for innovations that will lead to full financial inclusion for women and girls.

Publisher: Others Release date: Mar 2016

Type: Consultative, discussion and issues paper

Sectors: Banking, Insurance

Policy Frameworks to Support Women's Financial Inclusion

AFI and WWB report examines ways to close financial inclusion gender gap

Alliance for Financial Inclusion and Women's World Banking study examines efforts of policymakers and central bankers who are developing an enabling environment for financial inclusion of women. Seven policy measures could have a major impact on women's financial inclusion and accelerate progress of national strategies: i) greater focus on value proposition of women's financial inclusion; ii) gender-disaggregated data collection and research to provide a basis for fine-tuning policy; iii) reforms to legal and regulatory frameworks to create space for innovation that supports greater financial inclusion for women; iv) development of financial infrastructure to support implementation of sound policy; v) refined and strengthened financial consumer protection regulation that balance protection with expanded outreach; vi) financial education and financial literacy programs; and vii) legislation and regulations, addressing social norms that constrain women's financial inclusion.

Publisher: Others Release date: Mar 2016

Type: Consultative, discussion and issues paper

Topics: Gender equality, Financial inclusion

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

RegTech in Financial Services

IIF report on technology solutions for compliance and reporting

Institute of International Finance study identifies areas in compliance and reporting functions where RegTech can have the largest benefits, including risk data aggregation, modelling and real-time transactions monitoring. Examines which new technologies are promising in tackling compliance challenges. Identifies barriers to adoption and development of RegTech, and suggests role for financial services industry, RegTech ventures and regulators and supervisors to promote use of RegTech.

Publisher: Others Release date: Mar 2016

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Financial market infrastructure, Operational risk, Compliance function, FinTech

Sectors: Banking

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Resources

382 records

Second Thematic Review on Resolution Regimes

Regulatory Barriers to Innovation in Digital and Mobile Solutions

Risk Management Procedures for Non-Centrally Cleared OTC Derivatives

Standardised Measurement Approach for Operational Risk

Global Standard Setting Bodies and Financial Inclusion - The Evolving Landscape

Financial Regulations for Improving Financial Inclusion

FCA's Senior Managers Regime

What Does Financial Inclusion Mean for Women and Girls Today?

Policy Frameworks to Support Women's Financial Inclusion

RegTech in Financial Services

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