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Single-Counterparty Credit Limits for Bank Holding Companies and Foreign Banking Organizations

FRB rule to address risks associated with large credit exposures

US Federal Reserve Board addresses credit exposures of large banking organizations to a single counterparty. Rule increases in stringency based on the systemic importance of firms to which they apply.

Publisher: National Regulators Release date: Jun 2018 Country: United States

Type: Law, Regulation and Policy

Topics: Credit risk, Systemic risk, Systemically important financial institutions (SIFIs)

Sectors: Banking

The Bank of England's Policy on Valuation Capabilities to Support Resolvability

BoE statement of policy valuations to support resolvability

Bank of England consultation sets out policy for the capabilities firms should have in place to ensure that an inability to produce timely and robust resolution valuations does not impede resolvability. Policy addresses the data, systems, and processes that collectively support valuations of a firm's assets, liabilities and equity.

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

Type: Law, Regulation and Policy

Topics: Recovery and resolution, Systemically important financial institutions (SIFIs)

Sectors: Banking

SupTech: Leveraging Technology for Better Supervision

TC note explains SupTech and its potential

Toronto Centre note discusses how, by leveraging technology, supervisors can improve the efficiency and effectiveness of their work, with a focus on data collection, data analytics and digitization of processes and working tools. Provides examples of current uses of SupTech and uses that are being tested. Discusses the challenges and risks of embracing SupTech.

Publisher: Toronto Centre Release date: Jun 2018

Type: TC Notes

Peer: Regulatory Sandboxes , FinTech, RegTech and SupTech: What They Mean for Financial Supervision , FinTech, RegTech and SupTech: What They Mean for FInancial Supervision

Topics: Financial inclusion, Financial market infrastructure, Supervisory framework, Supervisory structures, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Issues Paper on Index Based Insurance, Particularly in Inclusive Insurance Markets

IAIS issues paper focuses on insurance supervisors who seek to enhance financial inclusion in developing markets

International Association of Insurance Supervisors issues paper discusses: i) why various promoters have sought to develop index based insurance; ii) relevant stakeholders and how they may be different to other insurance-related subject areas; iii) issues summarized under the heading of "legal certainty" and a range of particular consumer issues and how they tend to have been considered and resolved; and iv) index based insurance projects and how supervisors might approach them that reflects both a proportionate approach and provides for innovations.

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

Type: Consultative, discussion and issues paper

Parent: Issues Paper on Index-Based Insurances

Topics: Financial inclusion, Consumer education and protection

Sectors: Insurance

Financial Management and Planning by Insurers

PRA policy statement on effective management and planning by insurance firms and groups

United Kingdom Prudential Regulation Authority policy statement sets out how the application of effective risk management and governance is linked to the need for insurers to maintain a sound financial condition going forward. Sets out the PRA's expectations on financial management and planning by insurers.

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

Type: Supervisory Practice

Topics: Risk management, Corporate governance

Sectors: Insurance

Capital Treatment for Short-Term "Simple, Transparent and Comparable" Securitisations

BCBS standard for applying preferential regulatory capital treatment of STC short-term securitizations

Basel Committee on Banking Supervision standard sets out additional guidance and requirements for applying preferential regulatory capital treatment for banks acting as investors in, or as sponsors of, simple, transparent and comparable (STC) short-term securitizations, typically in asset-backed commercial paper (ABCP) structures. Additional guidance and requirements include that: i) investors have access to key monthly information on performance and key characteristics of the ABCP structure; ii) redemption risk of the underlying assets is addressed from the sponsor's perspective; and iii) transactions funded by the conduit have an enforceable legal structure and that relevant information is disclosed by the sponsor to investors.

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

Type: Standard

Parent: Revisions to the Basel Securitisation Framework

Peer: Criteria for Identifying Simple, Transparent and Comparable Securitisations, Criteria for Identifying Short-Term Simple, Transparent and Comparable Securitisations

Topics: Securitization, Credit risk, Capital adequacy

Sectors: Banking

Criteria for Identifying Short-Term Simple, Transparent and Comparable Securitisations

BCBS and IOSCO sound practice on criteria specifically for asset-backed commercial paper conduits

Basel Committee on Banking Supervision and International Organization of Securities Commissions sound practice on criteria for identifying "simple, transparent and comparable" (STC) securitizations that take account of the characteristics of short-term asset-backed commercial paper (ABCP) conduits, such as: i) short maturity of the commercial paper issued; ii) different forms of programme structures; and iii) existence of multiple forms of liquidity and credit support facilities.

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

Type: Sound Practice

Parent: Revisions to the Basel Securitisation Framework

Peer: Criteria for Identifying Simple, Transparent and Comparable Securitisations, Capital Treatment for Short-Term "Simple, Transparent and Comparable" Securitisations

Topics: Securitization, Transparency and disclosure

Sectors: Banking, Securities

Proposed Enhancements to Singapore's Deposit Insurance and Policy Owners' Protection Schemes

Response to feedback received on MAS' recommendations to enhance the deposit insurance and insurance policy holder protections scheme in Singapore

Monetary Authority of Singapore report sets out responses to feedback received on MAS' consultations on proposed enhancements to the deposit insurance scheme and policy owners' protection scheme. Report covers: i) strengthening depositor protection; ii) policy owners protection (PPF) general scheme; iii) PPF life scheme; and iv) enhancing operational effectiveness of the deposit insurance scheme and PPF scheme.

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

Type: Consultative, discussion and issues paper

Topics: Deposit insurance, Policyholder protection plans

Sectors: Banking

Basic Regulatory Enablers for Digital Financial Services

CGAP focus note provides guidance for policy makers to create an enabling environment for digital financial services

Consultative Group to Assist the Poor focus note examines four building blocks in regulation (e.g. regulatory enablers) and how they have been implemented in practice. Note focuses on digital financial services (DFS) models that specifically target excluded and underserved market segments. Four basic enablers are: i) non-bank e-money issuance; ii) use of agents; iii) risk-based customer due diligence; and iv) consumer protection.

Publisher: International Organizations Release date: May 2018

Type: Consultative, discussion and issues paper

Topics: FinTech, Financial inclusion, Consumer education and protection, Money laundering and terrorist financing

Sectors: Banking, Microfinance

The PRA's Methodologies for Setting Pillar 2 Capital

PRA policy statement on its Pillar 2 capital requirements

UK Prudential Regulatory Authority updated methodology for setting Pillar 2 capital requirements. Sets out methodologies to inform setting a firm’s Pillar 2A individual capital guidance for credit risk, market risk, operational risk, counterparty credit risk, credit concentration risk, and interest rate risk in the banking book and pension obligation risk. Pillar 2B provides information on the purpose of a PRA buffer, how it is determined and how it relates to the CRD IV buffers. Also provides details on PRA’s approach to tackling weak governance and risk management under Pillar 2B.

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

Type: Supervisory Practice

Parent: Capital Requirements Directive - CRD IV, Capital Requirements - CRD IV/CRR – Frequently Asked Questions

Peer: Assessing Capital Adequacy Under Pillar 2

Topics: Capital adequacy, Credit risk, Market risk, Operational risk, Interest rate risk

Sectors: Banking

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Resources

382 records

Single-Counterparty Credit Limits for Bank Holding Companies and Foreign Banking Organizations

The Bank of England's Policy on Valuation Capabilities to Support Resolvability

SupTech: Leveraging Technology for Better Supervision

Issues Paper on Index Based Insurance, Particularly in Inclusive Insurance Markets

Financial Management and Planning by Insurers

Capital Treatment for Short-Term "Simple, Transparent and Comparable" Securitisations

Criteria for Identifying Short-Term Simple, Transparent and Comparable Securitisations

Proposed Enhancements to Singapore's Deposit Insurance and Policy Owners' Protection Schemes

Basic Regulatory Enablers for Digital Financial Services

The PRA's Methodologies for Setting Pillar 2 Capital

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