TC Notes

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Supervision of Cyber Risk

TC Note provides broad discussion of cyber risk and sets out framework for its supervision

TC Note sets out the nature of cyber risk and outlines the fundamental elements of a framework for implementing an effective supervision program for cyber risk assessment in regulated financial institutions. Discusses how supervisors may assess institutions' governance policies and practices for cyber risk management.

Publisher: Toronto Centre Release date: Dec 2018

Type: TC Notes

Peer: FinTech, RegTech and SupTech: What They Mean for Financial Supervision

Topics: Cyber risk, FinTech, Operational risk

Sectors: Banking, Insurance, Pensions, Securities

IFRS 17 Insurance Contracts: What Supervisors Need to Know

TC note explains new accounting standard for insurance contracts and how supervisors can implement it

Toronto Centre Note discusses: i) how the key features of the standard have been designed to meet the IASB's objectives; ii) potential implications for insurers applying IFRS 17; and iii) considerations for adoption of IFRS 17 for regulatory and supervisory purposes based on the guidance of the IAIS's Insurance Core Principles. Highlights the need for supervisors to take stock of the requirements and determine an action plan for the way forward.

Publisher: Toronto Centre Release date: Oct 2018

Type: TC Notes

Topics: Accounting, actuarial and auditing , Transparency and disclosure

Sectors: Insurance

Implementing Risk Based Supervision: A Guide for Senior Managers

TC note discusses key managerial issues in implementing RBS

Toronto Centre Note discusses the cultural and managerial challenges that need to accompany the adoption and effective implementation of risk based supervision and suggests ways for senior management to respond to these challenges.

Publisher: Toronto Centre Release date: Jul 2018

Type: TC Notes

Peer: Risk-Based Supervision

Topics: Risk-based supervision

Sectors: Banking, Insurance, Pensions, Securities

The Post-Crisis Challenges Facing Supervisors

TC note discusses how emerging markets can approach the implementation of post-crisis and other regulatory reforms

Toronto Centre Note discusses how emerging markets can approach implementation of recent regulatory reforms. Considers the challenges for supervisors stemming from more wide-ranging, robust and complex regulatory requirements, provides an overview of emerging risks and supervisory responses, and discusses the importance of supervisory cooperation. Identifies key challenges as: i) proportionate implementation of reforms; ii) tailoring regulation and supervision to emerging market economies; iii) maintaining a focus on fundamental issues such as credit and insurance underwriting risks; and iv) assessing emerging risks such as those arising from FinTech and cyber security.

Publisher: Toronto Centre Release date: Jul 2018

Type: TC Notes

Topics: Systemically important financial institutions (SIFIs), Cross-border cooperation, Risk-based supervision, Supervisory framework, FinTech

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

SupTech: Leveraging Technology for Better Supervision

TC note explains SupTech and its potential

Toronto Centre note discusses how, by leveraging technology, supervisors can improve the efficiency and effectiveness of their work, with a focus on data collection, data analytics and digitization of processes and working tools. Provides examples of current uses of SupTech and uses that are being tested. Discusses the challenges and risks of embracing SupTech.

Publisher: Toronto Centre Release date: Jun 2018

Type: TC Notes

Peer: Regulatory Sandboxes , FinTech, RegTech and SupTech: What They Mean for FInancial Supervision , FinTech, RegTech and SupTech: What They Mean for Financial Supervision

Topics: Financial inclusion, Financial market infrastructure, Supervisory framework, Supervisory structures, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Compendium of TC Notes

Special collection of selected TC Notes published on the occasion of Toronto Centre's 20th anniversary

The TC Note series provides practical leadership and technical guidance related to the content of TC programs. This special collection is a selection of some of the most in-demand notes, and is organized into three categories: i) leading organizational change; ii) strengthening financial institutions; and iii) dealing with the impact of new technologies.

Publisher: Toronto Centre Release date: Apr 2018

Type: TC Notes

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

Risk-Based Supervision

TC Note sets out main features of RBS

Toronto Centre note provides a high-level overview of risk-based supervision (RBS) for all regulators and supervisors. Describes the principle features of RBS and the main operational and managerial issues that supervisors encounter when moving to a risk-based framework. Discusses: i) characteristics of RBS; ii) principles of RBS; iii) risk-based process; iv) documentation; v) peer review and quality assurance; vi) cultural and managerial challenges; and vii) use of RBS across sectors.

Publisher: Toronto Centre Release date: Mar 2018

Type: TC Notes

Peer: Implementing Risk Based Supervision: A Guide for Senior Managers

Topics: Risk-based supervision

Sectors: Banking, Insurance, Pensions, Securities

Advancing Women's Digital Financial Inclusion

TC Note describes how financial authorities can promote women's digital financial inclusion

Toronto Centre note examines constraints on women's access to financial services and the promise of digital financial services for overcoming them. It describes what financial authorities can to do foster women's digital financial inclusion in the context of their mandates to ensure a sound and enabling regulatory and supervisory framework.

Publisher: Toronto Centre Release date: Jan 2018

Type: TC Notes

Peer: The Business Case for Promoting Improved Gender Balance in Financial Institutions

Topics: Gender equality, Financial inclusion

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

Financial Literacy

TC Note discusses how financial literacy relates to financial sector policy objectives

Toronto Centre note to guide supervisors toward making appropriate choices when considering possible regulations, supervisory actions, or other steps that might be taken in the context of their particular circumstances. Note discusses: i) various dimensions of financial literacy; ii) barriers that consumers might face in achieving financial literacy; iii) how financial literacy can affect the achievement of supervisory objectives; iv) steps supervisors might need to take to achieve their objectives if the level of financial literacy is low; and v) roles supervisors can play in strengthening financial literacy.

Publisher: Toronto Centre Release date: Jan 2018

Type: TC Notes

Topics: Consumer education and protection, Financial inclusion, Conduct

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

Regulatory Sandboxes

TC note on the use of regulatory sandboxes as a means to pilot financial inclusion

Toronto Centre note explains key concept underlying regulatory sandboxes and highlights recent developments worldwide in their use for testing financial innovations that may not adhere neatly to existing regulatory frameworks. It discusses possible sandbox objectives, different sandbox operating models, and potential benefits and risks. It seeks to help authorities to identify issues that need to be taken into consideration when making decisions on creating, designing and operating a regulatory sandbox.

Publisher: Toronto Centre Release date: Oct 2017

Type: TC Notes

Peer: FinTech, RegTech and SupTech: What They Mean for Financial Supervision , Regulatory Sandboxes and Financial Inclusion, Modernizing Digital Financial Regulation, FCA Regulatory Sandbox, FinTech: Considerations on How to Enable a 21st Century Financial Services Ecosystem, Regulating a Revolution: From Regulatory Sandboxes to Smart Regulation

Topics: Financial inclusion, Compliance function, Operational risk, Transparency and disclosure, FinTech

Sectors: Securities, Insurance

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Resources

382 records

Supervision of Cyber Risk

IFRS 17 Insurance Contracts: What Supervisors Need to Know

Implementing Risk Based Supervision: A Guide for Senior Managers

The Post-Crisis Challenges Facing Supervisors

SupTech: Leveraging Technology for Better Supervision

Compendium of TC Notes

Risk-Based Supervision

Advancing Women's Digital Financial Inclusion

Financial Literacy

Regulatory Sandboxes

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