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Capital Markets Enforcement

MAS approach to supervision of capital markets

Monetary Authority of Singapore monograph sets out the aims of MAS' enforcement function, underlying principles, and how the principles are applied in practice. Describes MAS' enforcement approach which is broadly divided into four segments: i) early detection and rectification of breaches of laws through risk-focused supervision; ii) surveillance; iii) investigations; and iv) enforcement. 

Publisher: National Regulators     Release date: Jan 2016     Country: Singapore

Type: Consultative, discussion and issues paper

Peer: Supervision of Financial Market Infrastructures in Singapore

Topics: Early intervention and enforcement, Conduct

Sectors: Securities

Actuarial Aspects of ERM for Insurance Companies

IAA discussion paper provides assistance to actuaries in relation to enterprise risk management

International Actuarial Association discussion paper assists actuaries and other practitioners to understand various elements of enterprise risk management (ERM) and areas for consideration.

Publisher: Industry Groups     Release date: Jan 2016    

Type: Consultative, discussion and issues paper

Topics: Actuarial, Accounting, actuarial and auditing , Risk management

Sectors: Insurance

Competition in Mobile Financial Services: Lessons in Kenya and Tanzania

CGAP working paper identifies priority issues for financial inclusion

Consultative Group to Assist the Poor working paper provides insights on role that effective competition and competition policy play in developing mobile financial services (MFS), and in turn promoting financial inclusion using Kenya and Tanzania as case countries. Aim is to have two distinct, but complementary products: i) to identify and, where appropriate, contrast competition issues of MFS in Kenya and Tanzania in order to offer insights on how effective competition might be improved to make markets work well and, in turn, increase financial inclusion and consumer welfare; and ii) draw on experiences of Kenya and Tanzania to highlight to policy makers and regulators in more nascent MFS markets, aspects of competition policy they may wish to monitor or investigate as their own MFS markets develop. 

Publisher: International Organizations     Release date: Jan 2016     Country: Kenya

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Supervisory framework, Transparency and disclosure

Sectors: Banking, Insurance, Microfinance

Improving Corporate Governance in Regulated Firms

TC note discusses how to supervise corporate governance

Toronto Centre note sets out: i) key principles of corporate governance within a regulated financial services firm; ii) why it is important for supervisors to assess standards of corporate governance in firms they supervise; and iii) how supervisors may improve standards of corporate governance in firms they supervise. 

Publisher: Toronto Centre     Release date: Jan 2016    

Type: TC Notes

Topics: Corporate governance

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

Organizational Alternatives for Supervisors

TC note provides advice for supervisors when examining suitability of organizational alternatives

Toronto Centre note helps supervisors make appropriate choices when considering the suitability of supervisory agency organizational alternatives in context of their particular circumstances. Discusses role that supervisory objectives and international standards might play when considering organizational alternatives. 

Publisher: Toronto Centre     Release date: Jan 2016    

Type: TC Notes

Topics: Supervisory framework, Supervisory structures

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

Gender and Monetary Policymaking: Trends and Drivers

Bocconi University study draws conclusions about gender representation and diversity in monetary policy committees

Bocconi University research paper analyzes gender representation in monetary policy committees. Results show that gender representation is more likely to be relevant in countries characterized by a well-defined central bank governance, i.e. more independent central banks and less involved in supervision. Gender diversity is inversely associated with inflation rates and money growth. The presence of women on central bank boards seems to be associated with a more hawkish approach to monetary policy making. 

Publisher: Others     Release date: Jan 2016    

Type: Consultative, discussion and issues paper

Topics: Gender equality

Sectors: Banking

Regionalization as an Enabler or Facilitator of Capital Markets Development

Toronto Centre Program Leader's note on the role of regionalization in the development of capital markets in Africa

Note by Mr. C. King Chanetsa summarizing inputs to a panel discussion on regionalization at Zambia Securities Exchange Commission. Addresses how regionalization and regional interconnectivity could contribute to the development of capital markets in Africa. 

Publisher: Others     Release date: Jan 2016    

Type: Consultative, discussion and issues paper

Topics: Supervisory framework

Sectors: Securities

Safeguarding Mobile Money

GSMA report focuses on how providers and regulators can ensure that customer funds are protected

GSM Association report focuses on how regulators can effectively safeguard customer funds when a nonbank such as a mobile network operator issues mobile money. Addresses safeguarding customer funds against risk of loss due to: i) imprudent investment of customer funds; ii) insolvency of the mobile money issuer or trustee/fiduciary; and iii) insolvency of the bank holding the customer funds.

Publisher: Industry Groups     Release date: Jan 2016    

Type: Consultative, discussion and issues paper

Peer: Smartphones & Mobile Money

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

Sectors: Microfinance

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