2017

382 records

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Progress Report on the Implementation of Principles for Effective Supervisory Colleges

BCBS report highlights findings of implementation monitoring and provides examples of ways to meet commonly encountered challenges

Basel Committee on Banking Supervision progress report based on case studies of 13 colleges from home and host supervisor perspective. Report concludes that the effectiveness of colleges has improved since 2015 in the areas of information-sharing, coordinated risk assessment and crisis preparedness. Challenges remain, including those related to legal constraints on information-sharing, supervisory resource constraints and expectation gaps between home and host supervisors. Report sets out sound practices that include placing emphasis on the work between (or outside) formal college meetings, and encouraging home and host supervisors to reach out to each other to clarify expectations.

Publisher: Global Standard-Setting Bodies Release date: Dec 2017

Type: Implementation

Parent: Principles for Effective Supervisory Colleges

Peer: Progress Report on the Implementation of Principles for Effective Supervisory Colleges

Topics: Cross-border cooperation, Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

Data Collection by Supervisors of Digital Financial Services

CGAP research paper discusses DFS data collection practices and opportunities

Consultative Group to Assist the Poor research paper describes digital financial services (DFS) collection practices and the most common reporting requirements with respect to e-money services and issuers and the use of agents and electronic payments. Discusses emerging trends in regulatory data collection mechanisms that are relevant to DFS supervisors. Provides materials for DFS supervisors to exploit opportunities created by developments such as RegTech and SupTech to rethink their approach to data collection, with the goal of strengthening supervision while fostering financial inclusion.

Publisher: International Organizations Release date: Dec 2017

Type: Consultative, discussion and issues paper

Topics: FinTech, Financial inclusion

Sectors: Banking, Insurance, Microfinance, Microinsurance

EU Regulatory Standards on Simplified Obligations

EBA regulatory technical standards on application of simplified obligations relating to recovery and resolution planning

European Banking Authority report on the application of simplified obligations and waivers in recovery and resolution planning and its Regulatory Technical Standards specifying the eligibility criteria to determine whether institutions could e subject to simplified obligations when drafting such plans .

Publisher: Regional Standard-Setting Bodies Release date: Dec 2017

Type: Standard

Parent: Bank Recovery and Resolution Directive (BRRD)

Peer: Application of Simplified Obligations

Topics: Recovery and resolution, Cross-border cooperation, Systemically important financial institutions (SIFIs)

Sectors: Banking, Securities

Climate Change: The Challenges for Institutional Investors and Regulators

TC webcast on climate change and its impact on global capital markets

Toronto Centre executive panel video discusses climate change and its impact on global financial markets.

Publisher: Toronto Centre Release date: Dec 2017

Type: TC Videos

Topics: Climate change , Risk management, Cyber risk, Operational risk, FinTech

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

Good Practices for Financial Consumer Protection

WB guidance on good practices in the design and implementation of consumer protection regimes in all financial sectors

World Bank Good Practices comprehensive guidance for assessing and strengthening consumer protection regimes in all parts of the financial sector. Addresses legal and regulatory frameworks, disclosure and transparency, business conduct practices, data protection and privacy, and dispute resolution. Provides a compilation of practices used successfully in a range of countries.

Publisher: International Organizations Release date: Dec 2017

Type: Sound Practice

Topics: Consumer education and protection, Conduct, Transparency and disclosure, Financial inclusion

Sectors: Banking, Insurance, Pensions, Securities

Securitisation Regulation

New regulatory framework fro EU securitization transactions

European Commission regulation improving the legal framework for securitizations and promoting the development of a simple, transparent and standardized securitization ((STS) market in the European Union. Establishes general framework for securitization and creates a specific framework for STS securitizations distinct from that for highly complex, opaque and risky securitizations. Specifies criteria that a transaction must satisfy in order to qualify as an STS securitization. Regulation takes effect on 1 January 2019.

Publisher: Regional Standard-Setting Bodies Release date: Dec 2017

Type: Law, Regulation and Policy

Peer: Draft Standards on STS Securitisation Notifications, Technical Standards on Securitisation Disclosure Requirements

Topics: Securitization

Sectors: Banking, Insurance, Securities

Minimum Requirement for Own Funds and Eligible Liabilities (MREL) - Buffers and Threshold Conditions

PRA supervisory statement on relationship between MREL and regulatory capital buffers and threshold conditions

UK Prudential Regulation Authority supervisory statement regarding relationship between minimum requirement for own funds and eligible liabilities (MREL) and regulatory buffers. Sets out PRA's expectations regarding relationship between MREL and PRA's Threshold Conditions, the minimum requirements that firms must meet in order to be permitted to carry on regulated activities. Role of MREL is to make resolution strategies workable by ensuring that there are equity and liabilities within the firm that can credibly absorb losses and recapitalize businesses that need to continue operating.

Publisher: National Regulators Release date: Dec 2017 Country: United Kingdom

Type: Supervisory Practice

Parent: Bank Recovery and Resolution Directive (BRRD)

Topics: Capital adequacy, Recovery and resolution, Licensing

Sectors: Banking

Activities-Based Approach to Systemic Risk

IAIS consultation seeks input on development of an activities-based approach to mitigate systemic risk in the insurance sector

International Association of Insurance Supervisors consultation on activities-based approach (ABA) to systemic risk. Consultation: i) provides an overview of IAIS's prior work on assessing and mitigating potential systemic risk; ii) discusses the concept of an ABA relative to the IAIS's existing entity-based approach as well as work by other standard setters; iii) presents IAIS's intended approach to derive ABA policy measures; and v) describes key steps of this approach. Focuses on development of policy measures under IAIS standards but does address the actual implementation of policy measures.

Publisher: Global Standard-Setting Bodies Release date: Dec 2017

Type: Consultative, discussion and issues paper

Topics: Systemic risk, Systemically important financial institutions (SIFIs)

Sectors: Insurance

Deadline for comments: Feb 2018

Liquidity Stress Testing by German Asset Managers

BaFin management summary of new guidelines for liquidity stress tests in the context of liquidity risk management

Federal Financial Supervisory Authority of Germany (BaFin) management summary provides overview of report that sets out current industry practice and idiosyncracies of the German asset management market. Report requires that design of liquidity stresses should account appropriately for the business model and size of the asset management company. Reporting and governance policies must be clear and consistent. Stress scenarios and the frequency of monitoring should be suitable to the nature of the individual fund.

Publisher: National Regulators Release date: Dec 2017 Country: Germany

Type: Guideline

Topics: Stress-testing, Liquidity risk and rules, Corporate governance, Transparency and disclosure

Sectors: Securities

HKMA Supervisory Policy on Competence and Ethical Behaviour

HKMA guideline on expected behaviour of bank staff

Hong Kong Monetary Authority guideline emphasizes the importance of the competence and ethical behaviour of staff at all levels within a bank's organizational structure and provides guidance on measures banks are expected to adopt in monitoring and maintaining the competence levels and ethical behaviour of their staff.

Publisher: National Regulators Release date: Dec 2017 Country: Hong Kong, China

Type: Guideline

Peer: Enhanced Competency Framework for Banking Practitioners

Topics: Conduct, Corporate governance

Sectors: Banking

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Resources

382 records

Progress Report on the Implementation of Principles for Effective Supervisory Colleges

Data Collection by Supervisors of Digital Financial Services

EU Regulatory Standards on Simplified Obligations

Climate Change: The Challenges for Institutional Investors and Regulators

Good Practices for Financial Consumer Protection

Securitisation Regulation

Minimum Requirement for Own Funds and Eligible Liabilities (MREL) - Buffers and Threshold Conditions

Activities-Based Approach to Systemic Risk

Liquidity Stress Testing by German Asset Managers

HKMA Supervisory Policy on Competence and Ethical Behaviour

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