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Management and Supervision of ESG Risks for Credit Institutions and Investment Firms

EBA report on environmental, social and governance risks management and supervision

European Banking Authority report provides a comprehensive proposal of how environmental, social and governance (ESG) factors and risks should be included in the regulatory and supervisory framework for credit institutions and investment firms.

Publisher: Regional Standard-Setting Bodies Release date: Jun 2021

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Risk management

Sectors: Banking, Securities

Draft Issues Paper on Insurer Culture

IAIS consultation on insurer culture

International Association of Insurance Supervisors consultation explores the concept of insurer culture as a point of intersection for prudential and conduct risks, with examples to illustrate the broader role of culture in managing these risks.

Publisher: Global Standard-Setting Bodies Release date: Jun 2021

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Conduct, Risk management

Sectors: Insurance

Deadline for comments: Aug 2021

Guide to Fit and Proper Assessments

Proposed revisions by the ECB

European Central Bank proposed revisions to its Guide to Fit and Proper Assessments and a new Fit and Proper Questionnaire. The revisions explain in greater detail the policy stances, supervisory practices and processes applied by the ECB when assessing the suitability of members of the management bodies of significant credit institutions and to specify the ECB's main expectations.

Publisher: Regional Standard-Setting Bodies Release date: Jun 2021

Type: Consultative, discussion and issues paper

Topics: Corporate governance, Licensing

Sectors: Banking

Climate Change: Issues for Securities Supervisors

TC note discusses three areas where climate impacts are relevant for securities supervisors

Toronto Centre Note addresses three key areas where climate impacts are relevant for securities supervisors in relation to financial stability, market integrity, and investor protection: i) issuer obligations to disclose material information and risks; ii) risk management in securities firms, particularly operational resilience and the impact of changing asset values on market risk and obligations to clients; and iii) green investing. This Note suggests practical steps that securities supervisors can take now, points to existing standards and tools that can be used as a basis, and indicates areas where expectations and tools are likely to evolve.

Publisher: Toronto Centre Release date: May 2021

Type: TC Notes

Topics: Climate change

Sectors: Securities

The FinTech Gender Gap

TC CoP discusses BIS working paper

Toronto Centre Community of Practice (CoP) discusses the results of the recently released BIS Working Paper, The FinTech Gender Gap, which identified country characteristics, differences in willingness to use new financial technology, and different attitudes towards privacy and technology as reasons for some of the gap. The speakers also explore challenges and opportunities in fostering financial inclusion with new technology for supervisors and regulators.

Publisher: Toronto Centre Release date: May 2021

Type: TC Videos

Parent: The FinTech Gender Gap

Topics: FinTech, Gender equality, Financial inclusion

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

Application Paper on the Supervision of Climate-related Risks in the Insurance Sector

IAIS and SIF paper to assist insurance supervisors to manage climate change issues

International Association of Insurance Supervisors and Sustainable Insurance Forum application paper provides recommendations and examples of good practice for insurance supervisors to manage the challenges arising from climate change.

Publisher: Global Standard-Setting Bodies Release date: May 2021

Type: Consultative, discussion and issues paper

Topics: Climate change

Sectors: Insurance

Operational Resilience: The Next Frontier for Supervisors

TC podcast presents an overview of operational resilience

Toronto Centre podcast explains how supervisors can assess a financial institution's operational resilience as part of their supervisory assessment, and discusses how operational resilience fits within a risk-based supervisory approach.

Publisher: Toronto Centre Release date: May 2021

Type: TC Videos

Topics: Operational risk, Risk management

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

Report on the Mystery Shopping Activities of National Competent Authorities

EBA report on mystery shopping activities of banks

European Banking Authority report on mystery shopping activities of banks. The report explains that mystery shopping allows banks to obtain greater insight into the conduct of financial institutions.

Publisher: Regional Standard-Setting Bodies Release date: May 2021

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Financial inclusion, Transparency and disclosure

Sectors: Banking

How Regulators Use Sex-Disaggregated Data and RegTech to Enhance Financial Inclusion

TC and USAID study of how financial services regulators may address women's financial inclusion

Toronto Centre and USAID study examines the role that financial services regulators can play in efforts to address financial inclusion of women: how they are using, or could use, SDD to enhance women's access to and use of financial products and services of the right quality that meet their needs; and how new technologies could help.

Publisher: Toronto Centre Release date: May 2021

Type: TC Notes

Peer: Perspectives on How Regulators Use Sex-Disaggregated Data and RegTech to Enhance Financial Inclusion

Topics: Gender equality, Financial inclusion, FinTech

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

Integrating Microprudential Supervision with Macroprudential Policy

TC podcast ties into recent TC Note

Toronto Centre podcast discusses the TC Note Integrating Microprudential Supervision with Macroprudential Policy. It explains the reasons supervisory authorities should adopt a macroprudential approach and why the traditional approach to microprudential supervision has been ineffective in preventing financial crises.

Publisher: Toronto Centre Release date: Apr 2021

Type: TC Videos

Peer: Integrating Microprudential Supervision with Macroprudential Policy

Topics: Macroprudential

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

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Resources

382 records

Management and Supervision of ESG Risks for Credit Institutions and Investment Firms

Draft Issues Paper on Insurer Culture

Guide to Fit and Proper Assessments

Climate Change: Issues for Securities Supervisors

The FinTech Gender Gap

Application Paper on the Supervision of Climate-related Risks in the Insurance Sector

Operational Resilience: The Next Frontier for Supervisors

Report on the Mystery Shopping Activities of National Competent Authorities

How Regulators Use Sex-Disaggregated Data and RegTech to Enhance Financial Inclusion

Integrating Microprudential Supervision with Macroprudential Policy

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