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Digitally Delivered Credit

AFI policy guidance note and results from survey of regulators

Alliance for Financial Inclusion guidance note focuses on potential customer risks from different models of digitally-delivered credit. Discusses how policy makers and regulators in emerging markets and developing economies could develop approaches for identifying, monitoring and mitigating the most important customer risks.

Publisher: Others Release date: Apr 2018

Type: Consultative, discussion and issues paper

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

Sectors: Banking, Microfinance

The Identification and Measurement of Nonperforming Assets: A Cross-Country Comparison

FSI Insights paper describes accounting and regulatory treatment of problem assets across a range of countries

Financial Stability Institute paper sets out the importance of timely recognition and loss provisioning on banks' balance sheets of non-performing assets (NPAs). Describes the role of prudential regulation and supervision in facilitating the prompt identification and measurement of NPAs, based in part on a cross-country survey. Outlines key differences in accounting standards on problem assets and provisioning across jurisdictions. Sets out policy options to enhance identification and measurement of NPAs.

Publisher: International Organizations Release date: Apr 2018

Type: Consultative, discussion and issues paper

Topics: Credit risk, Transparency and disclosure, Accounting, actuarial and auditing , Asset classification and provisioning, Capital adequacy

Sectors: Banking

Supervising Liquidity and Funding Risks

PRA supervisory statement on liquidity risk

UK Prudential Regulation Authority supervisory statement sets out PRA's approach to supervising liquidity and funding risks. Covers its expectations regarding: i) Internal Liquidity Adequacy Assessment Process; ii) Liquidity Supervisory Review and Evaluation Process; iii) drawing down Liquid Asset Buffers; iv) collateral placed at Bank of England; v) daily reporting under stress; and vi) disclosure of Pillar 2 guidance. Updated June 2019.

Publisher: National Regulators Release date: Apr 2018 Country: United Kingdom

Type: Supervisory Practice

Topics: Liquidity risk and rules, Stress-testing, Recovery and resolution

Sectors: Banking

Prudential Practice Guide on Risk Management

APRA sound practice outlines prudent practices related to risk management

Australian Prudential Regulation Authority sound practice assists APRA-regulated institutions in complying with its Prudential Standard on Risk Management and outlines prudent practices in relation to risk management. Discusses: i) risk governance; ii) risk management culture; iii) risk management framework; iv) risk appetite; and v) risk management strategy.

Publisher: National Regulators Release date: Apr 2018 Country: Australia

Type: Sound Practice

Topics: Risk management, Corporate governance, Compliance function

Sectors: Banking, Insurance

Regulatory Reporting and Public Transparency in Secondary Corporate Bond Markets

IOSCO report on transparency of corporate bond markets

International Organization of Securities Commission report emphasizes importance of availability of corporate bond information to regulators in the form of reporting and to the public in the form of transparency requirements. Report: i) examines data reporting requirements for corporate bond markets; ii) examines current and proposed regulatory requirements relating to public pre-trade and post-trade transparency and the potential impact of transparency on market liquidity; and iii) makes recommendations for regulators to reflect current markets and regulatory frameworks.

Publisher: Global Standard-Setting Bodies Release date: Apr 2018

Type: Consultative, discussion and issues paper

Topics: Transparency and disclosure

Sectors: Securities

Groups Policy and Double Leverage

Results of PRA's review of its policy framework for assessing risks emanating from a regulated institution's group

UK Prudential Regulation Authority policy statement requires: i) assessment and mitigation of the risks to group resilience to the use of "double leverage"; ii) assessment and mitigation of the risks highlighted by prudential requirements applied by local regulatory authorities on overseas subsidiaries of UK groups; and iii) improved monitoring of the distribution of financial resources across different group entities. Updates the PRA's approach to the Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP), its methodologies for setting Pillar 2 capital and its approach to supervising funding and liquidity risks.

Publisher: National Regulators Release date: Apr 2018 Country: United Kingdom

Type: Consultative, discussion and issues paper

Topics: Capital adequacy, Recovery and resolution, Liquidity risk and rules

Sectors: Banking

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

Early Intervention Regimes for Weak Banks

FSI Insights paper analyzes range of early intervention regimes

Financial Stability Institute paper describes the nature of early intervention regimes and a range of practices in various jurisdictions. Structured in four sections: i) general framework for supervisory interventions and the two main forms that it may take; ii) comparison of indicators used to trigger formal intervention regimes; iii) review of intervention powers associated with these regimes and the degrees of supervisory discretion; and iv) overview of the six formal intervention regimes analyzed in the paper.

Publisher: International Organizations Release date: Apr 2018

Type: Consultative, discussion and issues paper

Peer: Guidelines for Identifying and Dealing with Weak Banks

Topics: Problem institutions, Early intervention and enforcement, Recovery and resolution

Sectors: Banking

Frameworks for Early Supervisory Intervention

BCBS range-of-practice study on frameworks, processes, and tools to support early supervisory intervention

Basel Committee on Banking Supervision range-of-practice study examines approaches to early supervisory intervention. Finds that early supervisory actions depend not only on the expert judgement of supervisors but also on an organizational infrastructure that sets in place: i) supervisory reinforcement through both vertical and horizontal risk assessments to maximize the early detection of risks; ii) a clear framework for when actions should be taken; and iii) internal governance processes and programs to support supervisory development and capacity building.

Publisher: Global Standard-Setting Bodies Release date: Mar 2018

Type: Consultative, discussion and issues paper

Topics: Early intervention and enforcement

Sectors: Banking

Guide to Assessments of Licence Applications

ECB guide on the process and requirements for assessing licence applications

European Central Bank guide applies to all licence applications to become a credit institution (bank) within the meaning of the Capital Requirements Regulation (CRR), including initial authorizations for new credit institutions, applications from FinTech companies, authorizations in the context of mergers or acquisitions, bridge bank applications and licence extensions. Promotes awareness and enhances the transparency of the assessment criteria and processes for the establishment of a credit institution within the Single Supervisory Mechanism.

Publisher: Regional Standard-Setting Bodies Release date: Mar 2018

Type: Guideline

Parent: Capital Requirements Regulation - CRR

Peer: Guide to Assessments of FinTech Credit Institution Licence Applications

Topics: Corporate governance, Recovery and resolution, Financial inclusion, Licensing, FinTech

Sectors: Banking

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Resources

382 records

Digitally Delivered Credit

The Identification and Measurement of Nonperforming Assets: A Cross-Country Comparison

Supervising Liquidity and Funding Risks

Prudential Practice Guide on Risk Management

Regulatory Reporting and Public Transparency in Secondary Corporate Bond Markets

Groups Policy and Double Leverage

Compendium of TC Notes

Early Intervention Regimes for Weak Banks

Frameworks for Early Supervisory Intervention

Guide to Assessments of Licence Applications

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