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Large Exposure Limits

OSFI large exposures rule for banks

Office of the Superintendent of Financial Institutions of Canada rule addressing large credit risk exposures of banks. Sets out OSFI's policy with respect to limits on these exposures. Large exposures are subject to limits, notwithstanding the quality of security that underlies individual transactions.

Publisher: National Regulators Release date: Nov 1994 Country: Canada

Type: Law, Regulation and Policy

Peer: Large Exposure Limits: Guidance

Topics: Credit risk

Sectors: Banking

Capital Adequacy Standards for Securities Firms

IOSCO longstanding common conceptual framework

International Organization of Securities Commissions framework for capital requirements for securities firms that take positions as principal, hold client accounts, and/or hold client property. Framework consists of: i) capital adequacy test that reflects liquidity, solvency and risks faced by securities firms; ii) regulatory structure for maintenance of a securities firm's books and records; and iii) framework of regular reporting to, and examination by, a supervisory authority.

Publisher: Global Standard-Setting Bodies Release date: Oct 1989

Type: Standard

Topics: Capital adequacy, Risk management, Liquidity risk and rules, Market risk

Sectors: Securities

Women in Fund Management

Study advocating bringing more women into key managerial positions in financial services

National Council for Research on Women study advocates gender diversity in financial services decision-making to achieve better overall performance. Research indicates that women bring unique qualities and capacities to investment and professional money management. Provides specific actions that managers, companies and the financial services industry can take to bring change to financial sector and balance gender equation.

Publisher: Others Country: United States

Type: Consultative, discussion and issues paper

Topics: Gender equality

Sectors: Securities

Regulatory Framework

Guide for businesses and individuals licensed or registered with FSCO

Financial Services Commission of Ontario (FSCO) regulatory framework summarizes its expectations from businesses and individuals that are licensed or registered with FSCO, stakeholders, consumers, or pension plan members; and what can be expected from FSCO in the regulatory process. Describes: i) FSCO's legislative mandate; ii) how FSCO fulfills its mandate by achieving regulatory outcomes; iii) FSCO's core regulatory activities; and iv) principles that FSCO follows when conducting regulatory activities.

Publisher: Subnational Regulators Country: Canada

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Supervisory framework

Sectors: Insurance, Pensions

Australian Restricted Bank License Framework

APRA information paper describes its Restricted Bank License framework allowing eligible new entrants two years to meet the full prudential regime

Australian Prudential Regulation Authority information paper sets out APRA's Restricted Bank License framework, including: i) guidelines for eligibility; ii) minimum and ongoing requirements for Restricted ADIs; iii) application of the prudential framework; and iv) allowable business during the restricted phase. Provides an explanation of what applicants can expect when entering into and progressing through the licensing process and APRA's expectations at each stage.

Publisher: National Regulators Country: Australia

Type: Consultative, discussion and issues paper

Topics: Licensing

Sectors: Banking

Display # Page 136 of 136 Total: 1355

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382 records

Large Exposure Limits

Capital Adequacy Standards for Securities Firms

Women in Fund Management

Regulatory Framework

Australian Restricted Bank License Framework

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