TC Notes

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Designing and Implementing a Systematic Financial Crisis Management Simulation

TC note provides useful background for jurisdictions that may be interested in organizing a SWFCMS

Toronto Centre Note provides background on the design and implementation of bespoke system-wide financial crisis management simulations (SWFCMS) intended to test system-wide responses to financial sector crises.

Publisher: Toronto Centre Release date: Mar 2020

Type: TC Notes

Peer: Crisis Binder: An Essential Tool for Crisis Preparedness

Topics: Crisis management and contingency planning

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

Coronavirus and the Financial Sector

TC Discussion Note on implications of the coronavirus for supervisors

Toronto Centre Discussion Note sets out background to the coronavirus and its impact on the financial sector and the real economy. It concludes with implications for supervisors.

Publisher: Toronto Centre Release date: Mar 2020

Type: TC Notes

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

Risk-Based Supervision for Securities Supervisors (and Other Supervisors of Small Firms)

TC note to help securities supervisors to develop and implement a risk-based, forward-looking and proactive approach to supervision

Toronto Centre Note discusses the application of risk-based supervision to major securities firms; to stock exchanges and other financial market infrastructure; and to the responsibilities of securities supervisors with respect to listed firms and market abuse. It also develops a risk-based approach to small firms which individually may have low impact. The existence of large numbers of small firms is not unique to the securities sector, but it is more common in the securities sector.

Publisher: Toronto Centre Release date: Feb 2020

Type: TC Notes

Topics: Risk-based supervision

Sectors: Securities

Supervisory Responses to Retail Misconduct

TC note suggests that relevant authorities re-think their priorities, institutional structures, regulatory requirements and supervisory interventions regarding retail misconduct

Toronto Centre Note: i) alerts supervisors to the structural and behavioural triggers of retail misconduct, considering the context of their own economies, industries and portfolios of supervised institutions; ii) explores the institutional causes that contribute to retail misconduct and the need to identify and response to these as early as possible; iii) considers the role of whistle-blowers and how they might be enlisted in preventing and addressing retail misconduct; iv) explains the responses to date and their limited usefulness; v) lists possible supervisory actions; and vi) discusses the likely emerging future scenario.

Publisher: Toronto Centre Release date: Jan 2020

Type: TC Notes

Peer: Conduct Supervision

Topics: Conduct, Consumer education and protection

Supervising FinTech to Promote Financial Inclusion

TC note sets out ways to enhance benefits of FinTech for financial inclusion and gender equality

Toronto Centre Note discusses how financial regulation and supervision can enhance the benefits of FinTech for financial inclusion and gender equality, taking into consideration the roles of incumbent financial institutions and new entrants, the roles of supervisors and regulators, and the varying experiences of different jurisdictions.

Publisher: Toronto Centre Release date: Dec 2019

Type: TC Notes

Topics: FinTech, Financial inclusion, Gender equality

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

Removing the Barriers to Women's Financial Inclusion

TC Note explores measures that financial services regulators and supervisors can put in place to reduce or remove these constraints and barriers

Toronto Centre Note discusses: i) benefits of financial inclusion for women; ii) barriers to women's financial inclusions; and iii) overcoming the barriers from a regulatory and supervisory perspective.

Publisher: Toronto Centre Release date: Nov 2019

Type: TC Notes

Topics: Financial inclusion, Gender equality

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

Crisis Binder: An Essential Tool for Crisis Preparedness

TC Note discusses the importance of a crisis binder and how to prepare one

Toronto Centre Note discusses: i) what is a crisis binder; ii) importance of having a crisis binder; iii) what makes a crisis binder useful; iv) preparing a crisis binder; and v) content of a crisis binder.

Publisher: Toronto Centre Release date: Oct 2019

Type: TC Notes

Peer: Designing and Implementing a Systematic Financial Crisis Management Simulation

Topics: Crisis management and contingency planning, Implementing change

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

What Role Can Financial Supervisors and Regulators Play in Promoting Gender Equality and the Economic Empowerment of Women?

TC Note discusses the role of financial supervisors and regulators in promoting gender equality and the economic empowerment of women

Toronto Centre Note discusses: i) obstacles to women's financial inclusion; ii) role of financial supervisors and regulators; iii) conclusion and recommendations; iv) perspective from Ghana; v) perspective from Cambodia; and vi) financial inclusion index.

Publisher: Toronto Centre Release date: Oct 2019

Type: TC Notes

Topics: Financial inclusion, Gender equality

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

Turning Risk Assessments Into Supervisory Actions

TC note sets out framework for turning risk assessments into firm-specific supervisory programs

Toronto Centre Note sets out a framework for turning risk assessments into firm-specific supervisory programs. Key considerations include: i) decisions about the risks that should be followed up; ii) choice of supervisory approach to be adopted within the firm; iii) identifying stages of intervention; iv) intensiveness with which remediation will be followed up and monitored; and v) processes surrounding significant changes to supervisory programs.

Publisher: Toronto Centre Release date: Aug 2019

Type: TC Notes

Peer: Risk-Based Supervision , Implementing Risk Based Supervision: A Guide for Senior Managers , The Development and Use of Risk Based Assessment Frameworks

Topics: Risk-based supervision

Sectors: Banking, Insurance, Pensions, Securities

Climate Change: Issues for Banking Supervisors

TC note explores the possible supervisory and regulatory responses in the banking sector to climate change-related risks, and to climate change more generally

Toronto Centre Note discusses issues raised for banking supervisors by climate change. Two key issues are: i) physical, transitional and other risks arising from climate change are likely to have an adverse impact on the credit, market, operational, legal, reputational and strategic risks faced by banks; and ii) the banking sector is likely to play a key role in the financing of activities that will have an impact on climate change.

Release date: Jul 2019

Type: TC Notes

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Resources

382 records

Designing and Implementing a Systematic Financial Crisis Management Simulation

Coronavirus and the Financial Sector

Risk-Based Supervision for Securities Supervisors (and Other Supervisors of Small Firms)

Supervisory Responses to Retail Misconduct

Supervising FinTech to Promote Financial Inclusion

Removing the Barriers to Women's Financial Inclusion

Crisis Binder: An Essential Tool for Crisis Preparedness

What Role Can Financial Supervisors and Regulators Play in Promoting Gender Equality and the Economic Empowerment of Women?

Turning Risk Assessments Into Supervisory Actions

Climate Change: Issues for Banking Supervisors

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