Archives - Prudential Supervision and Oversight
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1 October 2014 Risk-Based Approach for the Banking Sector
This Guidance helps in the design and implementation of a risk-based approach for the banking sector, taking into account national risk assessments and the national legal and regulatory frameworks, as well as helps develop a common understanding of the risk-based approach between supervisory authorities and banks. -
7 April 2014 Guidance on Supervisory Interaction with Financial Institutions on Risk Culture: A Framework for Assessing Risk Culture
The guidance forms a basis for supervisors and firms to promote and develop a shared understanding of the firm's risk culture and have informed conversations with the board and senior management who set the tone on culture from the top. -
18 November 2013 Principles for an Effective Risk Appetite Framework
The FSB Principles set out key elements for an effective risk appetite framework (RAF) and establish common definitions for terms used in risk appetite frameworks. The Principles aim to help enhance supervisory oversight of firms, in particular of SIFIs, and communication between supervisors and financial institutions. -
6 September 2013 G20/OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors
The purpose of the G20/OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors is to assist G20 and OECD countries and other interested economies to establish a framework for encouraging institutional investment in long-term assets. -
12 August 2013 Authorities' access to trade repository data
The purpose of the report is to provide guidance to trade repositories (TRs) and authorities on the principles that should guide authorities' access to data held in TRs for typical and non-typical data requests. -
18 July 2013 Global Systemically Important Insurers: Policy Measures
This standard contains a framework of policy measures that should be applied to insurers that are determined to be global systemically important insurers (G-SIIs). -
24 September 2012 Supervision of Financial Conglomerates
The Joint Forum's final report on Principles for the Supervision of Financial Conglomerates provides a set of principles which supersedes the compendium of principles on this topic developed in 1999 and published in 2001 by the Joint Forum ('the 1999 Principles'). -
28 June 2012 The internal audit function in banks
This revised supervisory guidance for assessing the effectiveness of the internal audit function in banks forms part of the Committee's ongoing efforts to address bank supervisory issues and enhance supervision through guidance that encourages sound practices within banks. It takes into account developments in supervisory practices and in banking organisations and incorporates lessons drawn from the recent financial crisis. -
18 April 2012 Principles for Financial Market Infrastructures
This document contains 24 principles to be observed by financial market infrastructures (systemically important payment systems, central securities depositories, securities settlement systems, central counterparties and trade repositories) and five responsibilities of relevant authorities in regulating, supervising and overseeing these infrastructures. -
18 April 2012 FSB Principles for Sound Residential Mortgage Underwriting Practices
The principles provide a framework for jurisdictions to set minimum acceptable underwriting standards so as to limit the risks that mortgage markets pose to financial stability and to better safeguard borrowers and investors. The report also sets out an implementation framework through which jurisdictions can apply minimum lending standards, and describes tools that could be used to monitor and supervise these standards.