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

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

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

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

A Buck Short: What Financial Diaries Tell Us About Building Financial Services That Matter to Low-Income Women

Research report about why women in emerging markets access and use formal financial services less than men

Bankable Financial Assets and Omidyar Network report draws upon financial diaries from India, Kenya and Mexico to enhance understanding of women's financial lives, and to highlight provider-led opportunities to better serve women.

Publisher: Others Release date: Oct 2016 Country: India

Type: Consultative, discussion and issues paper

Sectors: 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

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

Disclosure Requirements for Defined Benefit Pension Plans

Risk Culture

Global Report on Islamic Finance 2016

Commercial Bank Examination Manual

Correspondent Banking Services

A Buck Short: What Financial Diaries Tell Us About Building Financial Services That Matter to Low-Income Women

Protection of Customers' Funds in Electronic Money

International Survey of Adult Financial Literacy Competencies

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