Compendium of Standards

• 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.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision

• 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.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision

• 30 August 2018 Pillar 3 disclosure requirements – regulatory treatment of accounting provisions

  This document is a technical amendment on additional Pillar 3 disclosure requirements for those jurisdictions implementing an expected credit loss (ECL) accounting model as well as for those adopting transitional arrangements for the regulatory treatment of accounting provisions.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision

• 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.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision, Institutional and Market Infrastructure

• 5 July 2018 Global systemically important banks: revised assessment methodology and the higher loss absorbency requirement

  This document is the methodology for assessing and identifying global systemically important banks (G-SIBs) and describes the additional loss absorbency requirements that will apply to G-SIBs.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision

• 29 June 2018 Treatment of extraordinary monetary policy operations in the Net Stable Funding Ratio

  This document is a technical amendment on the treatment of extraordinary monetary policy operations in the Net Stable Funding Ratio (NFSR).

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision

• 21 June 2018 Funding strategy elements of an implementable resolution plan

  This guidance covers the development of a resolution funding plan for G-SIBs. It builds on the FSB’s August 2016 Guiding Principles on the temporary funding needed to support the orderly resolution of a global systemically important bank (G-SIB) and existing supervisory and resolution guidance on liquidity risk management and resolution planning.

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Institutional and Market Infrastructure, Resolution and Crisis Management

• 21 June 2018 Principles on bail-in execution

  This guidance sets out principles for authorities to consider as they develop plans for the effective execution of bail-in resolution strategies for global systemically important banks (G-SIBs). The principles may also be applicable to firms other than G-SIBs to the extent that the application of bail-in powers is envisaged under the authorities’ resolution strategy for those firms.

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Institutional and Market Infrastructure, Resolution and Crisis Management

• 14 May 2018 Capital treatment for simple, transparent and comparable short-term securitisations

  This document sets out the regulatory capital treatment for simple, transparent and comparable short-term securitisations.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision

• 8 May 2018 Strategy to reduce the risk of wholesale payments fraud related to endpoint security

  A high-level strategy to reduce the risk of wholesale payments fraud related to endpoint security.

  Content Type(s): Compendium Source(s): CPMI Policy Area(s): Institutional and Market Infrastructure