2016

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Implicit Support for Securitisation Transactions

EBA guidelines on capital treatment of securitizations

European Banking Authority guidelines set out objective test for definition of arm's length conditions and for assessing when a securitization transaction is structured in a manner that does not provide implicit support. Originating institutions that fail to structure the transaction in a manner that does not involve implicit support must hold capital against the exposure as if it had not been securitized. Includes provisions to avoid a scenario whereby support is provided on behalf of originator by another entity.

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

Type: Guideline

Parent: Capital Requirements Regulation - CRR, Capital Requirements Directive - CRD IV

Topics: Securitization, Capital adequacy, Credit risk

Sectors: Banking

Investment Company Reporting Modernization

SEC rules to modernize and enhance information reported by investment companies and investment advisers

Securities and Exchange Commission final rules and forms to modernize reporting and disclosure of information by registered investment companies, including: i) new Form N-PORT will require certain registered investment companies to report information about their monthly portfolio holdings to SEC in structured data format; ii) amendments to Regulation S-X, which will require standardized, enhanced disclosure about derivatives in investment company financial statements; iii) new Form N-CEN, which will require registered investment companies to annually report certain census-type information to SEC in structured data format; and iv) rescinding current Forms N-Q and N-SAR and to amend certain other rules and forms.

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

Type: Law, Regulation and Policy

Topics: Transparency and disclosure, Compliance function

Sectors: Securities

Report on Corporate Governance

IOSCO report on strengthening corporate governance frameworks in emerging markets

International Organization of Securities Commissions report identifies possible measures and regulatory approaches aimed at strengthening corporate governance in emerging market jurisdictions and aligning regulatory frameworks with internationally recognized standards in this area. Focuses on three areas: i) board composition and responsibility; ii) remuneration and incentive structures; and iii) risk management and internal controls.

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

Type: Consultative, discussion and issues paper

Parent: Principles of Corporate Governance

Topics: Corporate governance, Risk management

Sectors: Securities

Risk Culture

APRA overview of risk culture in banking, insurance and pensions industries

Australian Prudential Regulation Authority discussion paper on risk culture in APRA-regulated institutions. Findings: i) approaches to understand and manage risk culture are at a relatively early stage of development; and ii) many institutions are grappling with how best to identify and address specific weaknesses in their current risk culture. Sets out APRA's supervisory approach to governance and risk management.

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

Type: Consultative, discussion and issues paper

Topics: Risk management, Corporate governance

Sectors: Banking, Insurance, Pensions

Supervisory Priorities in non-Basel Committee Jurisdictions

Results of FSI survey of macroeconomic and financial stability priorities and challenges

Financial Stability Institute paper sets out results of survey of jurisdictions that are not member of Basel Committee on Banking Supervision (BCBS) to gain understanding of their supervisory priorities and challenges. Results show top three macroeconomic and financial stability challenges in non-BCBS jurisdictions are: i) increasing digitalization of finance and financial technology; ii) low or negative interest rate environment; and iii) commodity price volatility. Top three enhancements to supervisory approaches are: i) ensuring forward-looking approach to (risk-based) supervision; ii) enhancing on-site and off-site supervisory approaches; and iii) strengthening bank resolution frameworks.

Publisher: Others Release date: Oct 2016

Type: Consultative, discussion and issues paper

Topics: Supervisory framework, Risk-based supervision, Recovery and resolution, Systemic risk

Sectors: Banking

Global Report on Islamic Finance 2016

WB and IDBG report on how Islamic finance can promote inclusive and sustainable socioeconomic development

World Bank and Islamic Development Bank Group report provides comprehensive overview of existing status of various Islamic finance sectors and identifies major challenges hindering growth of Islamic finance. Identifies policy interventions and tools for policymakers to leverage the principles of Islamic finance in an effort to eradicate extreme poverty and work toward a more equitable distribution of wealth. Islamic finance, built on a foundation of social and economic justice, can contribute to shared prosperity through the principles of inclusive participation and risk sharing.

Publisher: International Organizations Release date: Oct 2016

Type: Consultative, discussion and issues paper

Topics: Islamic finance, Financial inclusion

Sectors: Banking, Insurance, Securities

Commercial Bank Examination Manual

FRB manual sets out bank examination objectives and procedures

US Federal Reserve Board manual presents examination objectives and procedures that Federal Reserve System examiners follow in evaluating the safety and soundness of banks. Intended as guidance for planning and conducting bank examinations.

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

Type: Supervisory Practice

Topics: Supervisory framework

Sectors: Banking

The Paradox of Gender-Neutral Banking

GBA report advocates for a gender-intelligent business model

Global Banking Alliance for Women report notes GBA member banks find that women are time-sensitive; are avid seekers of information and advice; are calculated risk-takers rather than risk averse; and want to connect, not only with their banks, but also to their peers, potential customers and suppliers, and the wider community. Treating women just like men is not a successful bank business strategy. Sets out five criteria that are core to a successful bank women's strategy: i) positioning products as solutions to problems; ii) positioning information, education and networking as core products; iii) building the financial capability of women customers; iv) establishing an intelligent, no "pink marketing" zone; and v) training staff to listen to women rather than sell to them, creating a relationship-based business model that sustains their loyalty.

Publisher: Others Release date: Oct 2016

Type: Consultative, discussion and issues paper

Topics: Gender equality, Financial inclusion

Sectors: Banking, Microfinance

Protection of Customers' Funds in Electronic Money

BBVA report describes different regulatory approaches to electronic money

Banco Bilbao Vizcaya Argentaria report describes risks presented by electronic, or mobile, money and the approaches that certain countries have followed to ensure that customers: i) are effectively protected against loss of funds in the event of insolvency of the issuer or other involved party; and ii) are able to access their funds upon demand. Analyzes the variety of regulatory responses in 15 countries, covering developed and developing economies in different regions.

Publisher: Industry Groups Release date: Oct 2016

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, Consumer education and protection, Transparency and disclosure, Financial market infrastructure

Sectors: Microfinance, Banking

International Survey of Adult Financial Literacy Competencies

Results of OECD/INFE survey to measure financial literacy and financial inclusion of adults

Organisation for Economic Co-operation and Development International Network on Financial Education survey of adults from 30 countries shows that adults in many countries around the world have low levels of financial knowledge, fail to engage in financial behaviours that could improve their financial security, and have financial attitudes oriented toward the short-term. Report notes gender differences in financial knowledge.

Publisher: International Organizations Release date: Oct 2016

Type: Consultative, discussion and issues paper

Peer: Report on Adult Financial Literacy in G20 Countries , Core Competencies Framework on Financial Literacy for Adults

Topics: Consumer education and protection, Financial inclusion, Gender equality

Sectors: Banking, Insurance, Pensions, Securities

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Resources

382 records

Implicit Support for Securitisation Transactions

Investment Company Reporting Modernization

Report on Corporate Governance

Risk Culture

Supervisory Priorities in non-Basel Committee Jurisdictions

Global Report on Islamic Finance 2016

Commercial Bank Examination Manual

The Paradox of Gender-Neutral Banking

Protection of Customers' Funds in Electronic Money

International Survey of Adult Financial Literacy Competencies

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