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Resolution Planning

BOE-PRA Supervisory Statement setting out details on information that firms should submit to facilitate resolution planning

Bank of England Prudential Regulatory Authority Supervisory Statement setting out details on information that firms should submit to the PRA to facilitate resolution planning. Aimed at firms to which the Resolution Pack Part of the PRA Rulebook applies. Issued pursuant to the PRA's Policy Statement on implementing the EU's Bank Recovery and Resolution Directive.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Supervisory Practice

Topics: Recovery and resolution

Sectors: Banking, Securities

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: Dec 2020 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

Approach to Identifying Other Systemically Important Institutions (O-SIIs)

BOE policy statement sets out criteria to identify other systemically important institutions

Bank of England policy statement sets out criteria and scoring methodology that Prudential Regulation Authority uses to identify other systemically important institutions (O-SIIs). Is parallel to approach for identifying globally systemically important institutions (G-SIIs). Approach is consistent with European Banking Authority Guidelines which set out O-SII identification process consisting of two stages. First stage is minimum mandatory framework consisting of prescribed set of criteria, indicators and weights that authorities should use to identify the institutions that must be designated as O-SIIs. Second stage offers authorities discretion to overlay the mandatory part of the framework in order to better reflect the specificities of the national banking sector; and if appropriate, designate additional firms as O-SIIs.

Publisher: National Regulators Release date: Dec 2020 Country: United Kingdom

Type: Law, Regulation and Policy

Parent: Capital Requirements Directive - CRD IV, Capital Requirements Regulation - CRR

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

Sectors: Banking, Securities

Supervising the New Normal: SupTech in Post-COVID-19 World

TC podcast discusses SupTech in the post-COVID-19 world

Toronto Centre discusses SupTech in the post-COVID-19 world.

Publisher: Toronto Centre Release date: Nov 2020

Type: TC Videos

Topics: COVID-19

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

Cloud Computing: Issues for Supervisors

TC Note discusses benefits of cloud computing

Toronto Centre Note contrasts the observed and potential benefits of cloud computing outsourcing with the supervisory concerns that its growth raises, particularly from the perspective of EMDE supervisors. It discusses the regulatory and supervisory responses and highlights next steps for supervisors.

Publisher: Toronto Centre Release date: Nov 2020

Type: TC Notes

Topics: Cyber risk, Operational risk, FinTech

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

Supervising the New Normal: A New Guide to Navigate the Pandemic

TC webcast on navigating the COVID-19 pandemic

Toronto Centre webcast focuses on the impact of COVID-19 on the financial system. It discusses emerging trends for supervising the new normal.

Publisher: Toronto Centre Release date: Nov 2020

Type: TC Videos

Topics: COVID-19

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

Emotional Wellness for Supervisors

TC podcast discusses how to thrive in our current environment

Toronto Centre podcast focuses on mental wellness in the workplace and how leaders can support a healthy and thriving team. It provides practical tips and ideas to help you to manage your own well-being.

Publisher: Toronto Centre Release date: Nov 2020

Type: TC Videos

Topics: COVID-19

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

2020 Resolution Report

FSB report highlights need for resolution preparedness

Financial Stability Board provides an update on progress in implementing policy measures to enhance the resolvability of systemically important financial institutions and highlights the need for resolution preparedness. It also discusses lessons learned from the COVID-19 pandemic, which confirmed the importance of ongoing work on resolvability, including for central counterparties (CCPs).

Publisher: Global Standard-Setting Bodies Release date: Nov 2020

Type: Consultative, discussion and issues paper

Topics: Recovery and resolution, COVID-19

Sectors: Banking, Insurance, Pensions, Securities

Bank of Canada and OSFI Launch Pilot Project on Climate Risk Scenarios

BoC and OSFI pilot project for banking and insurance sectors

Bank of Canada and the Office of the Superintendent of Financial Institutions pilot project to use climate change scenarios to better understand the risks to the financial system related to a transition to a low-carbon economy. The project aims to: i) build the climate scenario analysis capability of authorities and financial institutions, and support the Canadian financial sector in enhancing the disclosure of climate-related risks; ii) increase authorities' and financial institutions' understanding of the financial sector's potential exposure to risks associated with a transition to a low-carbon economy; and iii) improve authorities' understanding of financial institutions' governance and risk-management practices around climate-related risks and opportunities.

Publisher: National Regulators Release date: Nov 2020 Country: Canada

Type: Consultative, discussion and issues paper

Topics: Climate change

Sectors: Banking, Insurance

The Dawn of FinTech in Latin America

BIS report discusses landscapes, prospects and challenges for FinTech in Latin America

Bank for International Settlements report describes the FinTech landscape in terms of investment, firms and services provided. It evaluates the prospects for FinTech by exploring the institutional framework to supervise and regulate it. The report presents the challenges that FinTech faces in becoming a game changer for the region. It concludes that FinTech can be a strong catalyst to improve financial and social conditions in Latin America by incorporating the unbanked into the financial system and providing alternative sources of finance to firms.

Publisher: International Organizations Release date: Nov 2020

Type: Consultative, discussion and issues paper

Topics: Financial inclusion, FinTech

Sectors: Banking, Insurance, Securities

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Resources

382 records

Resolution Planning

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

Approach to Identifying Other Systemically Important Institutions (O-SIIs)

Supervising the New Normal: SupTech in Post-COVID-19 World

Cloud Computing: Issues for Supervisors

Supervising the New Normal: A New Guide to Navigate the Pandemic

Emotional Wellness for Supervisors

2020 Resolution Report

Bank of Canada and OSFI Launch Pilot Project on Climate Risk Scenarios

The Dawn of FinTech in Latin America

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