Archives - Financial Regulation and Supervision
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19 September 2018 Report on Retail OTC Leveraged Products
The guidance identifies and promotes regulatory approaches that can enhance the protection of retail investors in the area of OTC leveraged products offered and sold to retail investors. -
18 September 2018 Conflicts of interest and associated conduct risks during the equity capital raising process
Guidance to address the identified risks and the potential harm caused by specific, existing conflicts of interest and associated misconduct which can arise during the equity capital raising process. -
1 August 2018 Mechanisms Used by Trading Venues to Manage Extreme Volatility and Preserve Orderly Trading
Recommendations applicable to the establishment, use and on-going monitoring of mechanisms that may be used to manage extreme, including abnormal, volatility, and/or preserve orderly trading. -
20 April 2018 Strengthening governance frameworks to mitigate misconduct risk: a toolkit for firms and supervisors
This report provides a toolkit that firms and supervisors can use to mitigate misconduct risk. -
10 April 2018 Framework for supervisory stress testing of central counterparties (CCPs)
The supervisory stress testing framework is designed to support tests conducted by one or more authorities that examine the potential macro-level impact of a common stress event affecting multiple CCPs. -
9 April 2018 Harmonisation of critical OTC derivatives data elements (other than UTI and UPI) - technical guidance
This document provides technical guidance on the definition, format and allowable values of critical data elements of OTC derivative transactions, other than UTI and UPI (CDE), reported to trade repositories and important to aggregation by authorities. -
5 April 2018 Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets
The recommendations emphasize the importance of ensuring the availability of corporate bond information, both to regulators in the form of reporting and to the public in the form of transparency requirements, thus enhancing pre-trade and post-trade transparency. -
9 March 2018 Supplementary guidance to the FSB Principles and Standards on sound compensation practices
This supplementary guidance provides firms and supervisors with a framework to consider how compensation practices and tools, such as in-year bonus adjustments, malus or clawback, can be used to reduce misconduct risk and address misconduct incidents. -
19 February 2018 Sound Practices on implications of fintech developments for banks and bank supervisors
This document assesses how fintech may affect the banking industry and bank supervision and provides key implications and related considerations for banks and bank supervisors. -
9 February 2018 Good Practices on the Role of Pension Supervisory Authorities in Consumer Protection Related to Private Pensions
These Good Practices offer guidance to Pension Supervisory Authorities on how to ensure effective consumer protection in the field of private pensions.
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