Compendium

Application Paper on Approaches to Supervising the Conduct of Intermediaries

This Application Paper documents ideas on approaches that IAIS members may wish to consider when developing or revising a regime for the supervision of intermediaries, including when implementing ICP 18 (Intermediaries) and the relevant aspects of ICP 19 (Conduct of business), and incorporating them into their broader supervisory frameworks.

Guidance on correspondent banking services

This guidance explains the FATF’s requirements in the context of correspondent banking services and clarifies that the FATF Recommendations do not require correspondent financial institutions to conduct customer due diligence on each individual customer of their respondent institutions’ customers.

Guidance on the application of the Core Principles for Effective Banking Supervision to the regulation and supervision of institutions relevant to financial inclusion

This document is an additional guidance in the application of the Committee's Core Principles for Effective Banking Supervision to the supervision of financial institutions engaged in serving the financially unserved and underserved.

OECD Core Principles of Private Pension Regulation

High-level principles for the regulation of occupational (and other private) pension systems, covering pension funds and other financing mechanisms for pension arrangements.

Guiding principles on the temporary funding needed to support the orderly resolution of a global systemically important bank (“G-SIB”)

The principles are intended to assist authorities in their resolution planning and address the risk of banks having insufficient liquidity to maintain the continuity of critical functions in resolution.

Guidance on Arrangements to Support Operational Continuity in Resolution

This Guidance should assist supervisory and resolution authorities and firms to evaluate whether firms that are subject to resolution planning requirements have appropriate arrangements to support operational continuity if the firm enters resolution.

Correspondent banking

The CPMI sets out five recommendations to help alleviate some of the costs and concerns affecting correspondent banking activities.

Guidance on cyber resilience for financial market infrastructures

View the Standard The Cyber Guidance aims to add momentum to and instil international consistency in the industry’s ongoing efforts to enhance its cyber resilience. The Cyber Guidance aims to enhance the ability of Financial Market Infrastructures (FMIs) to pre-empt cyber-attacks, respond rapidly and effectively to them, and achieve faster and safer target recovery objectives […]

Global Systemically Important Insurers: Updated Assessment Methodology

The document sets out an updated Assessment Methodology (2016 Methodology) for global systemically important insurers (G-SIIs).

Systemic Risk from Insurance Product Features (previously referred to as Non-traditional Noninsurance activities and products)

The document provides a framework that explains why certain product features and related activities may raise the potential for an insurer to pose systemic risk upon failure, and describes the rationale for the IAIS’ discontinuation of the Non-traditional Noninsurance (NTNI) product label.

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