2016

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Prudential Practice Guide - Superannuation Entity Licensee Governance

APRA guideline on sound practices for governance of licensee’s business operations

Australian Prudential Regulation Authority sound practice guide to assist registrable superannuation entity licensees to comply with governance legal and prudential requirements. Outlines prudent practices in relation to governance matters.

Publisher: National Regulators Release date: Nov 2016 Country: Australia

Type: Sound Practice

Topics: Corporate governance

Sectors: Pensions

2016 Update of List of Global Systemically Important Insurers (G-SIIs)

FSB annual update of insurers designated as G-SIIs

Financial Stability Board annual update to the list of global systemically important insurers (G-SIIs). G-SIIs are subject to higher loss absorbency requirements, enhanced group-wide supervision, and group-wide recovery and resolution planning and regular resolvability assessments.

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

Type: Implementation

Parent: Higher Loss Absorbency Capacity for Global Systemically Important Insurers (G-SIIs), Global Systemically Important Insurers (G-SIIs) and the Policy Measures That Will Apply to Them

Peer: 2017 Update of List of Global Systemically Important Banks (G-SIBs)

Topics: Systemically important financial institutions (SIFIs), Recovery and resolution, Capital adequacy

Sectors: Insurance

Application Paper on Approaches to Supervising the Conduct of Intermediaries

IAIS standard for supervision of intermediaries and implementation of Insurance Core Principles 18 and 19

International Association of Insurance Supervisors standard sets out approach for supervision of intermediaries and implementation of Insurance Core Principles (ICPs) 18 (Intermediaries) and 19 (Conduct of Business). Discusses different types of intermediaries and diversity of intermediation, supervision of intermediaries in context of the overall supervisory framework, and outlines supervisory requirements and approaches that promote good conduct of business by intermediaries with reference to ICPs 18 and 19.

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

Type: Standard

Topics: Corporate governance, Conduct, Licensing

Sectors: Insurance

How Can a Supervisor Manage Outside Experts?

TC note on selecting and managing outside experts

Toronto Centre note provides guidance on dealing with issues related to use of outside experts. Covers: i) how to select an outside expert; ii) what should be in the contract; and iii) how the relationship can be managed. Will assist supervisors to: i) be aware of various sources of outside experts; ii) understand processes that might be used when selecting outside experts; iii) establish criteria that can be applied when evaluating proposals from outside experts; iv) become familiar with various types of contracts that might be used with outside experts; v) recognize key issues that should be dealt with in contracts with outside experts; and vi) understand how relationships with outside experts can be managed.

Publisher: Toronto Centre Release date: Nov 2016

Type: TC Notes

Topics: Implementing change

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

Objective-Setting and Communication of Macroprudential Policies

BIS discussion paper provides overview of how objectives are set in macroprudential policy and how policy is communicated

Bank for International Settlements discussion paper sets out role that communication can play in macroprudential policy, both in terms of helping to anchor stakeholders' expectations but also in influencing stakeholders' behaviour. A greater effort is required to explain the macroprudential policy framework and to ensure that the goal of maintaining financial stability is valued by the wider public. This can facilitate taking policy actions early-on in the cycle, when instruments may be more effective and adjustment less costly.

Publisher: International Organizations Release date: Nov 2016

Type: Consultative, discussion and issues paper

Topics: Macroprudential, Systemic risk

Sectors: Banking, Insurance, Securities

Proportionate Regulatory Frameworks in Inclusive Insurance

A2ii lessons learned from microinsurance regulation in India

Access to Insurance Initiative (A2ii) report on results of microinsurance regulations in India, supervisory approaches taken and lessons learned from past experiences. Examines ongoing and emerging market trends and challenges for insurance supervisors, particularly with regard to formalization, mass distribution and digital technology. Highlights areas where supervisory capacity-building will be highly important as inclusive insurance markets worldwide continue to innovate and grow.

Publisher: Others Release date: Nov 2016 Country: India

Type: Consultative, discussion and issues paper

Topics: Supervisory framework, Operational risk, Financial inclusion

Sectors: Microinsurance

How Can Outside Experts Help a Supervisor?

TC note on the possible use of outside experts

Toronto Centre note provides guidance on whether and how to use outside experts. Covers: i) why use outside experts; ii) where outside experts can help; and iii) determining your needs. Will assist supervisors to: i) understand reasons why supervisors might use outside experts; ii) be alert to problems that might arise if outside experts are not properly selected and managed; iii) understand ways in which outside experts might assist with general management of supervisory institutions, personnel matters, operations, and regulatory and supervisory functions; iv) identify key questions that should be answered when defining need for outside experts; and v) be aware of criteria that can be applied when developing goals to be met by outside experts.

Publisher: Toronto Centre Release date: Nov 2016

Type: TC Notes

Topics: Implementing change

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

Women as a Force for Economic Change

UBS report on economic benefits of improved gender balance

UBS report examines how a better gender balance can significantly impact economic growth enduring persistence of the gender gap, realities of the glass ceiling, and key considerations that governments, corporations and individuals should take to work towards a solution.

Publisher: Others Release date: Oct 2016

Type: Consultative, discussion and issues paper

Topics: Gender equality, Financial inclusion

Sectors: Banking, Insurance

The Global Gender Gap Report 2016

WEF report sets out worldwide gender-based disparties

World Economic Forum report benchmarks national gender gaps on economic, education, health and political criteria, and provides country rankings that allow for effective comparisons across regions and income groups. Provides comprehensive set of data and a clear method for tracking gaps on critical indicators so that countries may set priorities within their own economic, political and cultural context.

Publisher: Others Release date: Oct 2016

Type: Consultative, discussion and issues paper

Topics: Gender equality

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

Advisory to Financial Institutions on Cyber-Events and Cyber-Enabled Crime

FinCen advisory for banks to understand their obligations

Financial Crimes Enforcement Network advisory assists financial institutions in understanding their obligations regarding cyber-events and cyber-enabled crime. Advises on: i) reporting cyber-enabled crime and cyber-events; ii) including relevant and available cyber-related information in suspicious activity reports (SARs); iii) collaborating between Bank Secrecy Act/Anti-Money Laundering units and in-house cybersecurity units to identify suspicious activity; and iv) sharing information including cyber-related information, among financial institutions to guard against and report money laundering, terrorism financing, and cyber-enabled crime.

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

Type: Consultative, discussion and issues paper

Topics: Operational risk, Risk management, Cyber risk

Sectors: Banking

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Resources

382 records

Prudential Practice Guide - Superannuation Entity Licensee Governance

2016 Update of List of Global Systemically Important Insurers (G-SIIs)

Application Paper on Approaches to Supervising the Conduct of Intermediaries

How Can a Supervisor Manage Outside Experts?

Objective-Setting and Communication of Macroprudential Policies

Proportionate Regulatory Frameworks in Inclusive Insurance

How Can Outside Experts Help a Supervisor?

Women as a Force for Economic Change

The Global Gender Gap Report 2016

Advisory to Financial Institutions on Cyber-Events and Cyber-Enabled Crime

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