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Current Status of Level 1 Assessments

IOSCO and CPMI report sets out updated information on progress through the Level 1 assessments online tracker

International Organization of Securities Commissions and Committee on Payments and Market Infrastructures report discusses how a range of countries are implementing international standards for payment systems, central securities depositories and securities settlement systems.

Publisher: Regional Standard-Setting Bodies Release date: Mar 2019

Type: Consultative, discussion and issues paper

Topics: Financial market infrastructure, Transparency and disclosure

Sectors: Securities

PRA's Approach to Enforcement: Statutory Statements of Policy and Procedure

Update of BOE policy first published in 2013

Bank of England (BOE) Prudential Regulation Authority (PRA) policy statement on how it will exercise disciplinary powers over external auditors and actuaries.

Publisher: National Regulators Release date: Mar 2019 Country: United Kingdom

Type: Law, Regulation and Policy

Topics: Accounting, actuarial and auditing , Early intervention and enforcement

Sectors: Banking

Guidelines on Outsourcing Arrangements

EBA guidelines set out how supervisory expectations can keep pace with the growing use of outsourcing by financial institutions

European Banking Authority guidelines on outsourcing arrangements set out specific provisions for governance frameworks of financial institutions within the scope of EBA's mandate with regard to outsourcing arrangements and related supervisory expectations and processes.

Publisher: Regional Standard-Setting Bodies Release date: Feb 2019

Type: Guideline

Topics: Operational risk

Sectors: Banking

Framework for Assessing Conduct Risk Through the Product Lifecycle

EIOPA framework for supervising retail conduct risk

European Insurance and Occupational Pensions Authority framework clarifies drivers of conduct risk and their implications in the emergence of consumer detriment. Provides an aid for understanding issues faced by consumer and input on the types of conduct risks EIOPA and the national competent authorities should focus on.

Publisher: Regional Standard-Setting Bodies Release date: Feb 2019

Type: Consultative, discussion and issues paper

Topics: Supervisory framework, Consumer education and protection

Sectors: Insurance, Pensions

FinTech and Market Structure in Financial Services

FSB report on market developments and potential financial stability implications

Financial Stability Board report sets out latest thinking on potential FinTech risks to financial stability.

Publisher: Global Standard-Setting Bodies Release date: Feb 2019

Type: Consultative, discussion and issues paper

Topics: FinTech

Sectors: Banking, Insurance, Securities

Review of the Fund's Strategy on Anti-Money Laundering and Combating the Financing of Terrorism

IMF paper sets out why AML/CFT matters and how international organizations can help to address money laundering

International Monetary Fund paper sets out: i) evolution of the IMF's approach to financial integrity issues; ii) fund surveillance; iii) fund-supported programs; iv) financial sector assessment program; v) capacity development; vi) and other AML/CFT work.

Publisher: International Organizations Release date: Feb 2019

Type: Consultative, discussion and issues paper

Topics: Money laundering and terrorist financing, FinTech

Sectors: Banking

The Development and Use of Risk Based Assessment Frameworks

TC Note provides detailed guidance on development and implementation of risk assessment frameworks

Toronto Centre note provides detailed guidance on the development of risk assessment frameworks and their implementation. Note uses a generic framework as its starting point and provides guidance for implementation and use which should be applicable to national versions of risk-based supervision (RBS) frameworks.

Publisher: Toronto Centre Release date: Jan 2019

Type: TC Notes

Peer: Risk-Based Supervision , Implementing Risk Based Supervision: A Guide for Senior Managers , Turning Risk Assessments Into Supervisory Actions

Topics: Risk-based supervision

Sectors: Banking, Insurance, Pensions, Securities

Minimum Capital Requirements for Market Risk

BCBS revised standards for minimum capital requirements for market risk

Basel Committee on Banking Supervision standard ensures that standardization and internal model approaches to market risk deliver credible capital outcomes and promote consistent implementation of standards across jurisdictions.

Publisher: Global Standard-Setting Bodies Release date: Jan 2019

Type: Standard

Parent: Basel II: International Convergence of Capital Measurement and Capital Standards: A Revised Framework, Basel III: A Global Regulatory Framework for More Resilient Banks and Banking Systems

Topics: Market risk, Capital adequacy, Risk management

Sectors: Banking

Prudential Standard on Large Exposures

APRA standard on large exposures for banks

Australian Prudential Regulation Authority prudential standard requires banks to implement prudent measures and to set prudent limits to monitor and control their large exposures and risk concentrations. Key requirements are that banks must: i) have a board approved policy that governs large exposures and risk concentrations; ii) have adequate systems and controls to identify, measure, monitor and report large exposures and risk concentrations; iii) identify large exposures, including identifying a group of connected counterparties; iv) ensure large exposures meet the large exposure limit; and v) measure exposure values for large exposure purposes using specified treatments.

Publisher: National Regulators Release date: Jan 2019 Country: Australia

Type: Standard

Topics: Credit risk, Risk management, Corporate governance

Sectors: Banking

Joint Statement on Innovative Efforts to Combat Money Laundering and Terrorist Financing

FDIC, FinCen, OCC and Federal Reserve statement on banks' approaches to meet their BSA/AML compliance obligations

Federal Reserve Board, Federal Deposit Insurance Corporation, Financial Crimes Enforcement Network, National Credit Union Administration and Office of the Comptroller of the Currency statement encourages banks to consider, evaluate, and where appropriate, responsibly implement innovative approaches to meet their Bank Secrecy Act/anti-money laundering (BSA/AML) compliance obligations.

Publisher: National Government Release date: Dec 2018 Country: United States

Type: Consultative, discussion and issues paper

Topics: Money laundering and terrorist financing

Sectors: Banking

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Resources

382 records

Current Status of Level 1 Assessments

PRA's Approach to Enforcement: Statutory Statements of Policy and Procedure

Guidelines on Outsourcing Arrangements

Framework for Assessing Conduct Risk Through the Product Lifecycle

FinTech and Market Structure in Financial Services

Review of the Fund's Strategy on Anti-Money Laundering and Combating the Financing of Terrorism

The Development and Use of Risk Based Assessment Frameworks

Minimum Capital Requirements for Market Risk

Prudential Standard on Large Exposures

Joint Statement on Innovative Efforts to Combat Money Laundering and Terrorist Financing

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