Archives - Financial Regulation and Supervision
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23 October 2014 Basic capital requirements for systemically important insurers
The BCR serves as a comparable basis for the application of proposed higher loss absorbency requirements. -
22 October 2014 Guidance on liquidity management and planning
The purpose of this document is to provide further guidance to group-wide supervisors on how they could direct G-SIIs to develop their liquidity management. -
1 October 2014 Guidance on Transparency and Beneficial Ownership
This FATF Guidance assists countries to design and implement measures that will deter and prevent the misuse of corporate vehicles, such as companies, trusts and other types of legal persons and arrangements – for money laundering, terrorist financing and other illicit purposes. -
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. -
26 June 2014 Principles for effective supervisory colleges
The Principles aim to promote and strengthen the operation of colleges and have been revised to reflect observations on best practice. -
30 April 2014 Point of Sale disclosure in the insurance, banking and securities sectors
The report identifies and assesses differences and gaps in regulatory approaches to point of sale (POS) disclosure for investment and savings products across the insurance, banking and securities sectors, and considers whether the approaches need to be further aligned across sectors. -
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. -
31 March 2014 External audits of banks
This document describes supervisory expectations regarding audit quality and how that relates to the work of the external auditor and of the audit Committee in a bank. -
12 January 2014 Guidance for supervisors on market-based indicators of liquidity
This document has been published to assist supervisors in their evaluation of the liquidity profile of assets held by banks, and to help promote greater of consistency in High Quality Liquid Assets (HQLA) classifications across jurisdictions, for the purposes of Basel III's LCR. -
1 January 2014 Recommendations regarding the protection of client assets
This Report sets out eight Principles regarding the protection of client assets.