2016

382 records

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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

Peer Review of the Statement of Investment Policy Principles of Occupational Pension Funds

Publication of outcomes of EIOPA peer review of supervisory practices

European Insurance and Occupational Pensions Authority peer review examines extent to which supervisory authorities use the Statement of Investment Policy Principles (SIPP) within their supervisory framework. The objectives were to gain a better understanding of the extent to which supervisors use the SIPP as a supervisory tool and as a tool for disclosure purposes, explore what associated supervisory practices supervisors put in place and identify the scope for promoting supervisory convergence, including through the identification of best practices.

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

Type: Consultative, discussion and issues paper

Topics: Supervisory framework, Transparency and disclosure

Sectors: Pensions

Disclosure Requirements for Defined Benefit Pension Plans

OSFI guideline on disclosure of information for defined benefit plans

Office of the Superintendent of Financial Institutions guideline regarding disclosure of information to a plan member, former member, an employee eligible to join the plan, and that person's spouse or common-law partner. Also provides guidance to assist plan administrators in providing adequate and appropriate information.

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

Type: Guideline

Peer: Disclosure Requirements for Defined Contribution Pension Plans

Topics: Transparency and disclosure, Pension and retirement plans

Sectors: Pensions

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

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

Correspondent Banking Services

FATF guideline on application of its standard in context of correspondent banking services and money transfer service providers

Financial Action Task Force guidance on application of its international standards in context of correspondent banking relationships and money or value transfer services (MVTS) providers rendering similar services by: i) supporting development of a common understanding of what a risk-based approach entails for banks engaged in correspondent banking activity and MVTS providers rendering similar services; ii) clarifying interplay between FATF standards on cross-border correspondent banking and MVTS providers acting as intermediaries, and FATF standards on customer due diligence and wire transfers, as well as on targeted financial sanctions; iii) highlighting extent to which correspondent institutions and MVTS providers offering similar services may gain a sufficient understanding of the customers of the respondent institutions and the associated risks; and iv) clarifying expectations for correspondent institutions when dealing with respondents whose customer bases include MVTS providers.

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

Type: Guideline

Topics: Financial inclusion

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

Investment Company Reporting Modernization

Report on Corporate Governance

Peer Review of the Statement of Investment Policy Principles of Occupational Pension Funds

Disclosure Requirements for Defined Benefit Pension Plans

Risk Culture

Commercial Bank Examination Manual

Correspondent Banking Services

The Paradox of Gender-Neutral Banking

Protection of Customers' Funds in Electronic Money

International Survey of Adult Financial Literacy Competencies

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