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Regulating and Supervising the Clouds

FSI report on emerging prudential approaches for insurance companies

Financial Stability Institute paper outlines emerging regulatory and supervisory approaches that 14 authorities have implemented to deal with the risks posed by cloud computing. In some cases, authorities have issued cloud-specific recommendations and guidance, with a special emphasis on information security, data confidentiality, recovery and resumption capabilities and audit rights. Insurers' cloud computing activities are generally included in the supervision of operational risks. In addition, authorities are making increasing use of thematic reviews and informal contacts with cloud providers.

Publisher: International Organizations Release date: Dec 2018

Type: Consultative, discussion and issues paper

Topics: Cyber risk

Sectors: Insurance

Sustainable Development and Finance

TC fireside chat held in honour of its 20th anniversary

Toronto Centre fireside chat discusses: i) preparing for the next global financial crisis; ii) international rules based on global order; iii) closing the gender gap; and iv) advancing sustainable development.

Publisher: Toronto Centre Release date: Nov 2018

Type: TC Videos

Topics: Financial inclusion, Gender equality, Supervisory framework

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

Cyber Lexicon

FSB lexicon of key terms related to cyber security and cyber resilience in the financial sector

Financial Stability Board common lexicon of terms to support work of standard setting bodies and national authorities in dealing with cyber risk.

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

Type: Consultative, discussion and issues paper

Topics: Cyber risk, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Principles to Promote Fairness, Ethics, Accountability and Transparency in the Use of Artificial Intelligence and Data Analytics

MAS guidance on the responsible use of artificial intelligence and data analytics

Monetary Authority of Singapore principles provide guidance to firms offering financial products and services on the responsible use of artificial intelligence and data analytics to strengthen internal governance around data management and use.

Publisher: National Regulators Release date: Nov 2018 Country: Singapore

Type: Consultative, discussion and issues paper

Topics: Cyber risk, FinTech, Corporate governance

Sectors: Banking, Insurance, Pensions, Securities

Prudential Standard on Information Security

APRA prudential requirements for addressing cyber risk and other information security threats

Australian Prudential Regulation Authority standard to minimize the likelihood and impact of information security incidents on the confidentiality, integrity or availability of information assets, including those managed by related parties or third parties.

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

Type: Standard

Topics: Cyber risk, FinTech, Operational risk

Sectors: Banking, Insurance, Pensions

UK Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)

PRA supervisory statement on its expectations for firms undertaking an ICAAP and factors it takes into consideration in its SREP

UK Prudential Regulatory Authority updated supervisory statement sets out expectations of firms in relation to: i) undertaking their ICAAP; ii) stress testing, scenario analysis and capital planning; and iii) reverse stress testing. Sets out the factors that the PRA takes into consideration to assess a firm’s ICAAP. Provides further detail in relation to high-level expectations outlined in PRA’s Approach to Banking Supervision.

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

Type: Guideline

Parent: Capital Requirements Directive - CRD IV

Peer: The Prudential Regulation Authority's Approach to Banking Supervision

Topics: Capital adequacy, Stress-testing

Sectors: Banking, Securities

The UK Leverage Ratio Framework

Supervisory practice for UK leverage ratio framework

UK Prudential Regulatory Authority supervisory statement on UK leverage ratio framework. Sets out PRA's expectations on leverage ratio buffers and reporting and disclosure of the leverage ratio, as well as provides clarification on PRA rules.

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

Type: Supervisory Practice

Peer: Policy on UK Leverage Ratio Framework

Topics: Capital adequacy, Transparency and disclosure, Systemically important financial institutions (SIFIs)

Sectors: Banking

FCA Mission: Approach to Authorization

FCA report sets out its approach to authorizations

UK Financial Conduct Authority report sets out its approach to authorizations. Sets out the conditions that firms and individuals must meet to be authorized, how the FCA evaluates whether firms and individuals meet the conditions, how authorizations promote competition, and how the effectiveness of authorization decisions are evaluated.

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

Type: Consultative, discussion and issues paper

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

Sectors: Banking, Insurance, Pensions, Securities

Principles for Responsible Banking

UNEP proposed principles for aligning banks' strategies with the UN Sustainable Development Goals and the Paris Climate Agreement

United Nations Environment Finance Initiative principles to assist banks to align their business strategy with society's goals. Key features: i) comprehensive framework addressing the strategic portfolio and transaction level across all of the bank's business areas; ii) alignment with Sustainable Development Goals (SGDs) and the Paris Climate Agreement; iii) target-setting in areas of most significant positive and negative impact; iv) transparency and accountability through public reporting and review; and v) guidance, expert advice and peer learning to support implementation.

Publisher: International Organizations Release date: Nov 2018

Type: Consultative, discussion and issues paper

Topics: Climate change , Transparency and disclosure, Corporate governance

Sectors: Banking

Gender Considerations in Balancing Financial Inclusion and Anti-Money Laundering and Countering the Financing of Terrorism

AFI guidance note discusses how to balance women's financial inclusion with financial integrity policy objectives

Alliance for Financial Inclusion guidance note discusses current practices in the AFI network to support financial policymakers and regulators responsible for implementing and overseeing AML/CFT standards at the national level. Raises awareness of specific financial inclusion challenges disproportionately faced by women in the national implementation of AML/CFT standards, and assists in the formulation and implementation of policy responses that can contribute to advancing women's financial inclusion.

Publisher: Others Release date: Nov 2018

Type: Consultative, discussion and issues paper

Topics: Money laundering and terrorist financing, Financial inclusion, Gender equality

Sectors: Banking, Microfinance

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Resources

382 records

Regulating and Supervising the Clouds

Sustainable Development and Finance

Cyber Lexicon

Principles to Promote Fairness, Ethics, Accountability and Transparency in the Use of Artificial Intelligence and Data Analytics

Prudential Standard on Information Security

UK Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)

The UK Leverage Ratio Framework

FCA Mission: Approach to Authorization

Principles for Responsible Banking

Gender Considerations in Balancing Financial Inclusion and Anti-Money Laundering and Countering the Financing of Terrorism

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