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Supervising Liquidity and Funding Risks

PRA supervisory statement on liquidity risk

UK Prudential Regulation Authority supervisory statement sets out PRA's approach to supervising liquidity and funding risks. Covers its expectations regarding: i) Internal Liquidity Adequacy Assessment Process; ii) Liquidity Supervisory Review and Evaluation Process; iii) drawing down Liquid Asset Buffers; iv) collateral placed at Bank of England; and v) daily reporting under stress.

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

Type: Supervisory Practice

Topics: Liquidity risk and rules, Stress-testing, Recovery and resolution

Sectors: Banking

Using Technology to Achieve Smarter Regulatory Reporting

FCA consultation on using technology for more efficient regulation

UK Financial Conduct Authority consultation on how technology can make it easier for firms to meet their regulatory reporting requirements and improve the quality of the information they provide. Examines re-shaping current regulatory processes and systems.

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

Type: Consultative, discussion and issues paper

Topics: Compliance function, FinTech

Sectors: Banking, Insurance, Pensions, Securities

Deadline for comments: Jun 2018

Algorithmic Trading

PRA's proposed expectations of firm's governance and risk management of algorithmic trading

UK Prudential Regulation Authority consultation sets out expectations in respect of a firm's algorithmic trading activities with respect to: i) governance; ii) algorithm approval process (by the firm); iii) testing and deployment; iv) inventories and documentation; and v) risk management and other systems and controls functions.

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

Type: Consultative, discussion and issues paper

Topics: Risk management, Corporate governance

Sectors: Banking, Securities

Deadline for comments: May 2018

Good Practices on Consumer Protection Related to Private Pension Systems

IOPS sound practice guidelines identify supervisory measures to enhance consumer protection

International Organisation of Pension Supervisors sound practice guidelines examine consumer protection in private pensions systems and the role of supervisory authorities. Identifies key areas and supervisory measures directed at enhancing consumer protection.

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

Type: Sound Practice

Parent: G20 High-Level Principles on Financial Consumer Protection, IOPS Principles of Private Pension Supervision

Peer: Effective Approaches to Support Implementation of G20/OECD Principles on Financial Consumer Protection - Part 2, Effective Approaches to Support Implementation of G20/IOSCO Principles on Financial Education and Awareness

Topics: Pension and retirement plans, Consumer education and protection, Conduct, Transparency and disclosure

Sectors: Pensions

FinTech, RegTech and SupTech: What They Mean for FInancial Supervision

TC webinar discusses issues relating to technology and supervision

Toronto Centre webinar discusses: i) ongoing FinTech revolution that is reshaping the financial services industry; ii) how FinTech, RegTech and SupTech have been developing, and how financial supervision and risk management are, in turn, being transformed; iii) key technologies and their potential uses in RegTech and SupTech; and iv) how key technologies could help improve supervision and allow new supervisory approaches.

Publisher: Toronto Centre Release date: Feb 2018

Type: TC Videos

Peer: SupTech: Leveraging Technology for Better Supervision

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

Sectors: Banking, Insurance, Securities

Systemic Risk and Macroprudential Policy in Insurance

EIOPA research paper identifies and analyzes sources of systemic risk in insurance

European Insurance and Occupational Pensions Authority research paper outlines lessons learned from the financial crisis and banking sector that affect the insurance industry. Identifies and analyzes sources of systemic risk in insurance, outlining three potential sources: i) entity-based; ii) activity-based; and iii) behaviour-based. Includes a proposal for a macroprudential framework for insurance and defines specific operational objectives based on previously identified sources of systemic risk.

Publisher: Regional Standard-Setting Bodies Release date: Feb 2018

Type: Consultative, discussion and issues paper

Peer: Solvency II Tools With Macroprudential Impact

Topics: Macroprudential, Systemic risk

Sectors: Insurance

Good Practices for Open-End Fund Liquidity and Risk Management

IOSCO sound practice for liquidity risk management by asset managers

International Organization of Securities Commissions sound practice addresses structural vulnerabilities identified by the Financial Stability Board regarding liquidity risk management in the asset management industry. Topics covered include: i) disclosure to investors; ii) alignment between asset portfolio and redemption terms; iii) availability and effectiveness of liquidity risk management tools; and iv) fund level stress testing.

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

Type: Sound Practice

Peer: Liquidity Management Tools in Collective Investment Schemes

Topics: Liquidity risk and rules, Transparency and disclosure, Stress-testing

Sectors: Securities

Cross-Border Retail Payments

CPMI report sets out improvements in infrastructure for cross-border retail payments

Committee on Payments and Market Infrastructure report analyzes cross-border retail payments by individuals and businesses and identifies issues and challenges. Draws on a survey of established and innovative providers of cross-border retail payment services around the world. Sets out scope for improvements in existing infrastructures.

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

Type: Consultative, discussion and issues paper

Peer: Fast Payments - Enhancing the Speed and Availability of Retail Payments , Non-Banks in Retail Payments , Innovations in Retail Payments

Topics: Cross-border cooperation, Financial inclusion, Financial market infrastructure, FinTech

Sectors: Banking, Securities

Pillar 3 Disclosure Requirements - Updated Framework

BCBS proposed disclosure requirements to update Pillar 3 framework

Basel Committee on Banking Supervision proposed additional disclosure requirements related to the finalization of the Basel III framework. Include: i) revised disclosure requirements for credit risk, operational risk, leverage ratio and credit valuation adjustment; ii) new requirements to benchmark risk-weighted assets (RWA) outcomes of banks' internal models with RWA calculated according to the standardized approaches; and iii) revised overview templates on risk management, key prudential metrics and RWA.

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

Type: Consultative, discussion and issues paper

Parent: Basel III: A Global Regulatory Framework for More Resilient Banks and Banking Systems

Peer: Pillar 3 Disclosure Requirements - Consolidated and Enhanced Framework

Topics: Transparency and disclosure, Capital adequacy, Operational risk

Sectors: Banking

Derivatives Sound Practices for Private Pension Plans

OSFI guideline sets out its expectations of regulated private pension plans with respect to their derivative activities

Office of the Superintendent of Financial Institutions of Canada guideline sets out the factors that it expects administrators of federally regulated private pension plans to consider when developing policies and procedures for the sound risk management of derivative activities. Guideline reflects current practices with respect to the risk management of derivative activities, and covers both exchange traded and over-the-counter (OTC) derivatives. Sets out expectations for plan administrators who invest in derivatives indirectly through various types of funds, including pooled funds and hedge funds.

Publisher: National Regulators Release date: Feb 2018 Country: Canada

Type: Guideline

Topics: Risk management, Derivatives

Sectors: Pensions

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Resources

382 records

Supervising Liquidity and Funding Risks

Using Technology to Achieve Smarter Regulatory Reporting

Algorithmic Trading

Good Practices on Consumer Protection Related to Private Pension Systems

FinTech, RegTech and SupTech: What They Mean for FInancial Supervision

Systemic Risk and Macroprudential Policy in Insurance

Good Practices for Open-End Fund Liquidity and Risk Management

Cross-Border Retail Payments

Pillar 3 Disclosure Requirements - Updated Framework

Derivatives Sound Practices for Private Pension Plans

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