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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; v) daily reporting under stress; and vi) disclosure of Pillar 2 guidance.

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

Type: Supervisory Practice

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

Sectors: Banking

Prudential Practice Guide on Risk Management

APRA sound practice outlines prudent practices related to risk management

Australian Prudential Regulation Authority sound practice assists APRA-regulated institutions in complying with its Prudential Standard on Risk Management and outlines prudent practices in relation to risk management. Discusses: i) risk governance; ii) risk management culture; iii) risk management framework; iv) risk appetite; and v) risk management strategy.

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

Type: Sound Practice

Topics: Risk management, Corporate governance, Compliance function

Sectors: Banking, Insurance

Regulatory Reporting and Public Transparency in Secondary Corporate Bond Markets

IOSCO report on transparency of corporate bond markets

International Organization of Securities Commission report emphasizes importance of availability of corporate bond information to regulators in the form of reporting and to the public in the form of transparency requirements. Report: i) examines data reporting requirements for corporate bond markets; ii) examines current and proposed regulatory requirements relating to public pre-trade and post-trade transparency and the potential impact of transparency on market liquidity; and iii) makes recommendations for regulators to reflect current markets and regulatory frameworks.

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

Type: Consultative, discussion and issues paper

Topics: Transparency and disclosure

Sectors: Securities

Frameworks for Early Supervisory Intervention

BCBS range-of-practice study on frameworks, processes, and tools to support early supervisory intervention

Basel Committee on Banking Supervision range-of-practice study examines approaches to early supervisory intervention. Finds that early supervisory actions depend not only on the expert judgement of supervisors but also on an organizational infrastructure that sets in place: i) supervisory reinforcement through both vertical and horizontal risk assessments to maximize the early detection of risks; ii) a clear framework for when actions should be taken; and iii) internal governance processes and programs to support supervisory development and capacity building.

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

Type: Consultative, discussion and issues paper

Topics: Early intervention and enforcement

Sectors: Banking

Guide to Assessments of Licence Applications

ECB guide on the process and requirements for assessing licence applications

European Central Bank guide applies to all licence applications to become a credit institution (bank) within the meaning of the Capital Requirements Regulation (CRR), including initial authorizations for new credit institutions, applications from FinTech companies, authorizations in the context of mergers or acquisitions, bridge bank applications and licence extensions. Promotes awareness and enhances the transparency of the assessment criteria and processes for the establishment of a credit institution within the Single Supervisory Mechanism.

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

Type: Guideline

Parent: Capital Requirements Regulation - CRR

Peer: Guide to Assessments of FinTech Credit Institution Licence Applications

Topics: Corporate governance, Recovery and resolution, Financial inclusion, Licensing, FinTech

Sectors: Banking

Solvency II Tools With Macroprudential Impact

EIOPA report on tools within the Solvency II framework that can mitigate systemic risk

European Insurance and Occupational Pensions Authority report identifies, classifies and provides a preliminary assessment of the tools or measures within the Solvency II framework, the European Union's comprehensive microprudential regime for the insurance sector, that have macroprudential impact and can be used to mitigate systemic risks.

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

Type: Consultative, discussion and issues paper

Peer: Systemic Risk and Macroprudential Policy in Insurance

Topics: Macroprudential, Systemic risk

Sectors: Insurance

Report on the Functioning of Supervisory Colleges in 2017

EBA report on accomplishments of 2017 Colleges Action Plan and key activities for 2018

European Banking Authority annual review assesses the work of key European Economic Area supervisory colleges in 2017, evaluates performance, and identifies key activities for 2018.

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

Type: Implementation

Parent: Bank Recovery and Resolution Directive (BRRD), Capital Requirements Directive - CRD IV

Peer: EBA Report on Convergence of Supervisory Practices

Topics: Cross-border cooperation, Financial conglomerates

Sectors: Banking

FSB Action Plan to Assess and Address the Decline in Correspondent Banking

Progress report on FSB's action plan on de-risking

Financial Stability Board progress report on implementation of its four-point action plan to assess and address decline in correspondent banking. These actions include: i) strengthening tools for due diligence by correspondent banks; ii) data collection and analysis; iii) clarifying regulatory expectations; and iv) domestic capacity building.

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

Type: Consultative, discussion and issues paper

Peer: Stocktake of Remittance Service Providers' Access to Banking Services , Sound Management of Risks Related to Money Laundering and Financing of Terrorism

Topics: Money laundering and terrorist financing, Financial inclusion

Sectors: Banking

Stocktake of Remittance Service Providers' Access to Banking Services

FSB stocktake identifies drivers for the termination of banking services to remittance service providers

Financial Stability Board report provides stocktake of remittance service providers' access to banking services and an action plan to address the gaps and barriers identified in the stocktake. Makes 19 recommendations in four areas to address gaps and remaining barriers to banking services by remittance service providers: i) promoting dialogue and communication between the banking and remittance sectors; ii) improving the implementation of international standards and oversight of the remittance sector; iii) use of innovation in the remittance sector and its possible role in enabling remittance service providers' greater access to banking services; and iv) technical assistance relating to remittances.

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

Type: Consultative, discussion and issues paper

Peer: Sound Management of Risks Related to Money Laundering and Financing of Terrorism , FSB Action Plan to Assess and Address the Decline in Correspondent Banking

Topics: Money laundering and terrorist financing, Financial inclusion

Sectors: Banking

EBA's FinTech Roadmap

EBA's next steps and indicative milestones for 2018/19 in assessing implications of FinTech

European Banking Authority roadmap on FinTech sets out the EBA's priorities for 2018/19. Priorities are: i) monitoring the regulatory perimeter, including assessing current authorization and licensing approaches to FinTech firms, and analyzing regulatory sandboxes and innovation hubs in order to identify a set of best practices; ii) monitoring emerging trends and analyzing the impact from the use of FinTech; iii) promoting best supervisory practices on assessing cybersecurity and promoting a common cyber threat testing framework; iv) addressing consumer issues arising from FinTech; and v) identifying and assessing money laundering/terrorist financing risk associated with regulating FinTech firms, technology providers and FinTech solutions.

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

Type: Consultative, discussion and issues paper

Peer: EBA Discussion Paper on Financial Technology (FinTech)

Topics: FinTech, Financial inclusion, Financial market infrastructure

Sectors: Banking

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Resources

382 records

Supervising Liquidity and Funding Risks

Prudential Practice Guide on Risk Management

Regulatory Reporting and Public Transparency in Secondary Corporate Bond Markets

Frameworks for Early Supervisory Intervention

Guide to Assessments of Licence Applications

Solvency II Tools With Macroprudential Impact

Report on the Functioning of Supervisory Colleges in 2017

FSB Action Plan to Assess and Address the Decline in Correspondent Banking

Stocktake of Remittance Service Providers' Access to Banking Services

EBA's FinTech Roadmap

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