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Regulatory Consistency Assessment Program Handbook

BCBS handbook of guidance and principles for assessing members' adherence to BCBS standards

Basel Committee on Banking Supervision handbook to guide peer reviews of the extent to which BCBS member jurisdictions regulatory and supervisory regimes are aligned with BCBS minimum requirements.

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

Type: Consultative, discussion and issues paper

Topics: Supervisory framework

Sectors: Banking

Guidance on FSB Principles and Standards on Sound Compensation Practices

FSB supplementary guidance to the 2009 Principles and Standards

Financial Stability Board consultation on supplementary guidance to provide firms and supervisors with a framework to consider how compensation practices and tools, such as in-year bonus adjustments, and malus or clawback arrangements, can be used to reduce misconduct risk and address misconduct incidents.

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

Type: Guideline

Parent: FSB Principles for Sound Compensation Practices

Peer: FSB Principles for Sound Compensation Practices: Implementation Standards

Topics: Corporate governance

Sectors: Banking, Insurance, Securities

ECB Releases Progress on Gender Targets

ECB report on number of women in management positions in the EU banking sector

European Central Bank statistics on its progress in increasing the share of women in management positions. Results show that as of the end of 2017, 27% of management positions were held by women compared with an interim target of 29%. Outcomes of these results are: i) ECB will step up efforts to increase gender diversity; and ii) ECB will work to double the share of women in management from 2013 to 2019.

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

Type: Consultative, discussion and issues paper

Topics: Gender equality, Financial inclusion

Sectors: Banking

Global Shadow Banking Monitoring Report 2017

FSB seventh annual monitoring exercise assessing global trends and risks in shadow banking

Financial Stability Report sets out results of seventh annual monitoring exercise to assess global trends and risks in the shadow banking system, reflecting data up to the end of 2016.

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

Type: Consultative, discussion and issues paper

Topics: Shadow banking, Supervisory framework, Systemic risk

Sectors: Banking, Insurance, Pensions, Securities

Life Insurance Capital Adequacy Test Public Disclosure Requirements

OSFI guideline sets out expectations regarding disclosures for life insurance companies and insurance holding companies

Office of the Superintendent of Financial Institutions of Canada guideline sets out its expectations for achieving transparent, high-quality disclosures that will enable users to better understand and compare a life insurer's business and risks. Guideline is composed of two sections: i) guiding principles; and ii) scope and implementation.

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

Type: Guideline

Topics: Capital adequacy, Transparency and disclosure

Sectors: Insurance

Guide to Assessments of FinTech Credit Institution Licence Applications

ECB guide for potential FinTech bank applicants

European Central Bank guideline enhances transparency for potential FinTech bank applicants and increases their understanding of the procedure and criteria applied by the ECB in its assessment of licence applications.

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

Type: Guideline

Peer: Guide to Assessments of Licence Applications

Topics: Financial inclusion, Financial market infrastructure, Corporate governance, Operational risk, Licensing, FinTech

Sectors: Banking

Addendum to the ECB Guidance to Banks on Nonperforming Loans

ECB report on prudential provisioning backstop for non-performing exposures

European Central Bank addendum reinforces and supplements its Guidance to Banks on Non-Performing Loans by specifying quantitative supervisory expectations concerning the minimum levels of prudential provisions expected for non-performing exposures (NPEs). The expectations are based on the length of time an exposure has been classified as non-performing as well as the collateral held (if any). The measures are "prudential provisioning backstops" aimed at a prudent treatment of NPEs and avoiding the excessive build-up of non-covered, aged NPEs on banks' balance sheets.

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

Type: Consultative, discussion and issues paper

Peer: Guidance to Banks on Non-Performing Loans

Topics: Accounting, actuarial and auditing , Transparency and disclosure, Credit risk

Sectors: Banking

Risk-Based Supervision

TC Note sets out main features of RBS

Toronto Centre note provides a high-level overview of risk-based supervision (RBS) for all regulators and supervisors. Describes the principle features of RBS and the main operational and managerial issues that supervisors encounter when moving to a risk-based framework. Discusses: i) characteristics of RBS; ii) principles of RBS; iii) risk-based process; iv) documentation; v) peer review and quality assurance; vi) cultural and managerial challenges; and vii) use of RBS across sectors.

Publisher: Toronto Centre Release date: Mar 2018

Type: TC Notes

Peer: Implementing Risk Based Supervision: A Guide for Senior Managers , The Development and Use of Risk Based Assessment Frameworks

Topics: Risk-based supervision

Sectors: Banking, Insurance, Pensions, Securities

EBA Financial Education Report 2017/18

EBA report on financial education across the EU

European Banking Authority report on financial education is based on a repository of more than 80 financial education initiatives carried out by national authorities supervising banking products and services across the 28 EU Member States. Aimed at helping financial consumers to improve their financial well-being and understanding of financial products.

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

Type: Consultative, discussion and issues paper

Topics: Consumer education and protection, Financial inclusion

Sectors: Banking

The ESRB Handbook on Operationalizing Macroprudential Policy in the Banking Sector

ESRB handbook for implementing EU macroprudential policy framework

European Systemic Risk Board handbook provides detailed advice on how to design and implement macroprudential policy for the banking sector. Handbook is structured in three sections: i) overall macroprudential policy framework and key findings; ii) key features and role of individual macroprudential instruments; and iii) cross-cutting issues.

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

Type: Guideline

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

Peer: Flagship Report on Macro-prudential Policy in the Banking Sector

Topics: Macroprudential, Systemic risk

Sectors: Banking

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Resources

382 records

Regulatory Consistency Assessment Program Handbook

Guidance on FSB Principles and Standards on Sound Compensation Practices

ECB Releases Progress on Gender Targets

Global Shadow Banking Monitoring Report 2017

Life Insurance Capital Adequacy Test Public Disclosure Requirements

Guide to Assessments of FinTech Credit Institution Licence Applications

Addendum to the ECB Guidance to Banks on Nonperforming Loans

Risk-Based Supervision

EBA Financial Education Report 2017/18

The ESRB Handbook on Operationalizing Macroprudential Policy in the Banking Sector

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