2016

382 records

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Liquidity and Policy Analyses for Platform Trading of OTC Derivatives: A Perspective of Smaller Markets

MAS paper assessing when to mandate OTC derivatives be traded on a trading platform

Monetary Authority of Singapore staff paper analyzes criteria for assessing when it might be appropriate to mandate the trading of standardized over-the-counter derivatives ("OTCD") on trading platforms ("trading mandate") in the context of smaller OTCD markets. Examines benefits and challenges of a trading mandate and puts forward a two-stage assessment framework, comprising a trading infrastructure test and a product test. Tests seek to identify the appropriate conditions for implementation of a trading mandate, considering the associated risks of market fragmentation and regulatory arbitrage. Proposes a liquidity assessment methodology to identify products suitable for trading on platforms. Discusses publishing post-trade data from trade repositories as alternative measure to improve market transparency.

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

Type: Consultative, discussion and issues paper

Peer: Implementing OTC Derivatives Market Reforms

Topics: Derivatives, Transparency and disclosure

Sectors: Securities

Macroprudential Policy Issues Arising from Low Interest Rates

ESMA report discusses sources, implications and potential risks for the EU financial system deriving from the current low interest rate environment

European Securities and Markets Authority report analyzes two possible scenarios for future interest rate trends over the next ten years: a protracted low interest rate environment accompanied by low growth ("low for long") and an economic recovery scenario under which interest rates rise gradually ("back to normal"). Proposes a holistic macroprudential policy approach aimed at enhancing financial stability and mitigating systemic risks in the low interest rate environment.

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

Type: Consultative, discussion and issues paper

Topics: Macroprudential, Interest rate risk, Systemic risk

Sectors: Securities

HKMA Supervisory Policy - Systems and Controls for Liquidity Risk Management

HKMA policy on sound liquidity risk management by banks

Hong Kong Monetary Authority policy sets out an overview of what HKMA considers to be the major elements of a sound liquidity risk management framework and describes the manner in which the HKMA will apply its risk management standards.

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

Type: Law, Regulation and Policy

Topics: Liquidity risk and rules, Risk management, Corporate governance, Stress-testing, Crisis management and contingency planning

Sectors: Banking

Anti-Money Laundering and Countering the Financing of Terrorism Risk Factor Guidelines

EBA, EIOPA and ESMA guidelines on risk factors that firms should consider when implementing a risk-based approach to AML/CFT compliance

European Banking Authority, European Insurance and Occupational Pensions Authority and European Securities and Markets Authority guidelines on implementing a risk-based approach to adherence to the EU directive on the Financial Action Task Force (FATF) international standard. Provides guidance on risk factors firms should consider when assessing money laundering and terrorist financing risk associated with a business relationship or occasional transaction, and how firms can adjust the extent of their customer due diligence measures in a manner commensurate to money laundering and terrorist financing risks. Provides guidance to supervisory authorities in assessing the adequacy of firms’ application of simplified and enhanced customer due diligence measures.

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

Type: Guideline

Peer: Guidelines on the Money Laundering and Terrorist Financing Risk

Topics: Money laundering and terrorist financing

Sectors: Banking, Insurance, Pensions, Securities

FinTech Regulatory Sandbox Guidelines

MAS guideline sets out purpose of sandbox and guidance on application process

Monetary Authority of Singapore guideline to develop regulatory "sandbox" to enable financial institutions to experiment with fintech solutions in an environment where any failures would be contained. Guidelines set out ways by which MAS might provide regulatory support to firms to encourage fintech experimentations.

Publisher: Others Release date: Nov 2016 Country: Singapore

Type: Guideline

Topics: Financial inclusion, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Recordkeeping for Timely Deposit Insurance Determination

FDIC rule to ensure prompt payment of insured deposits when banks fail

US Federal Deposit Insurance Corporation final rule to facilitate prompt payment of insured deposits when large banks fail. Requires each insured bank that has two million or more deposit accounts to: i) configure its information technology system to be capable of calculating the insured and uninsured amounts in each deposit account, which would be used by the FDIC to make deposit insurance determinations in the event of failure; and ii) maintain complete and accurate information needed by the FDIC to determine deposit insurance coverage with respect to each deposit account.

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

Type: Law, Regulation and Policy

Topics: Deposit insurance, Recovery and resolution

Sectors: Banking

Issues for Consideration in Implementing IFRS 9

ESMA statement on the implementation of IFRS 9

European Securities and Markets Authority statement highlights the need for consistent, high-quality implementation of International Financial Reporting Standard 9 (Financial Instruments) (IFRS 9) and for transparency on its impact to users of financial statements.

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

Type: Consultative, discussion and issues paper

Topics: Accounting, actuarial and auditing , Transparency and disclosure

Sectors: Securities

Fast Payments - Enhancing the Speed and Availability of Retail Payments

CPMI report sets out key characteristics of fast payments

Committee on Payments and Market Infrastructures report: i) sets out key characteristics of fast payments; ii) takes stock of different initiatives in CPMI jurisdictions; iii) analyzes supply and demand factors that may foster or hinder their development; iv) sets out benefits and risks; and v) examines potential implications for different stakeholders, particularly central banks.

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

Type: Consultative, discussion and issues paper

Peer: Non-Banks in Retail Payments , Cross-Border Retail Payments

Topics: Financial market infrastructure, Financial inclusion

Sectors: Banking, Securities

Guidelines on Assessment of ICAAP and ILAAP under SREP

EBA guideline on common approach to internal capital adequacy assessment process and internal liquidity adequacy assessment process under the supervisory review and evaluation process

European Banking Authority guidelines on information to be collected for supervisory authorities to perform their assessments of internal capital adequacy assessment process (ICAAP) and internal liquidity adequacy assessment process (ILAAP) in accordance with EBA's guidelines for the supervisory review and evaluation process (SREP). Guidelines specify: i) general information about ICAAP and ILAAP frameworks, business model and strategy, as well as governance arrangements; ii) ICAAP-specific methodological, policy and operational information; iii) ILAAP-specific methodological, policy and operational information; and iv) management conclusions on ICAAP and ILAAP and quality assurance information.

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

Type: Guideline

Parent: Guidelines on Common Procedures and Methodologies for the Supervisory Review and Evaluation Process (SREP)

Peer: Guidelines on ICT Risk Assessment Under SREP, Revised Procedures and Methodologies for the Supervisory Review and Evaluation Process and Supervisory Stress Testing

Topics: Capital adequacy, Liquidity risk and rules

Sectors: Banking

Climate Risk and Its Implications for Financial Stability

TC webinar presents overview of climate risk and the developmental opportunities that it presents

Toronto Centre webinar discusses role that governments, financial institutions and financial regulators and supervisors can play in identifying and addressing climate risk and developmental opportunities that this global phenomenon presents. Addresses: i) channels through which climate risk can affect financial stability; ii) linkages between climate risk and prudential regulation; iii) policy implications for public and private finance of climate risk; and iv) role of governments and the options at their disposal.

Publisher: Toronto Centre Release date: Nov 2016

Type: TC Videos

Topics: Climate change

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

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Resources

382 records

Liquidity and Policy Analyses for Platform Trading of OTC Derivatives: A Perspective of Smaller Markets

Macroprudential Policy Issues Arising from Low Interest Rates

HKMA Supervisory Policy - Systems and Controls for Liquidity Risk Management

Anti-Money Laundering and Countering the Financing of Terrorism Risk Factor Guidelines

FinTech Regulatory Sandbox Guidelines

Recordkeeping for Timely Deposit Insurance Determination

Issues for Consideration in Implementing IFRS 9

Fast Payments - Enhancing the Speed and Availability of Retail Payments

Guidelines on Assessment of ICAAP and ILAAP under SREP

Climate Risk and Its Implications for Financial Stability

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