Compendium of Standards

• 1 May 2005 Central bank oversight of payment and settlement systems

  This document describes central banks' oversight practices concerning payment and settlement systems and set out principles for effective oversight.

  Content Type(s): Compendium Source(s): CPMI Policy Area(s): Institutional and Market Infrastructure Topic(s): Central Banking, Cooperation among Authorities, Payment Systems, Prudential Supervision and Oversight

• 26 April 2005 Compliance and the compliance function in banks

  This document provides basic guidance for banks and sets out banking supervisors' views on compliance in banking organisations.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision Topic(s): Accounting and Auditing, Governance

• 15 February 2005 Outsourcing in Financial Services

  This document presents a set of principles to assist firms and regulators in considering their outsourcing activities

  Content Type(s): Compendium Source(s): BCBS, IAIS, IOSCO, JF Policy Area(s): Financial Regulation and Supervision Topic(s): Prudential Supervision and Oversight

• 1 July 2004 Principles for the management and supervision of interest rate risk

  This document sets out principles that should be used in evaluating the adequacy and effectiveness of a bank's interest rate risk management, in assessing the extent of interest rate risk run by a bank in its banking book, and in developing the supervisory response to that risk.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision Topic(s): Prudential Supervision and Oversight, Risk Management

• 1 May 2004 Principles on Client Identification and Beneficial Ownership for the Securities Industry

  These Principles are formulated in relation to client identification and beneficial ownership for the securities industry. The Client Due Diligence (CDD) process is a key component of securities regulatory requirements intended to achieve the principal objectives of securities regulation, the protection of investors; ensuring that markets are fair, efficient and transparent; and the prevention of the illegal use of the securities industry.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation, Risk Management

• 15 January 2004 Principles for the home-host recognition of AMA operational risk capital

  This document sets out principles that will be useful to guide supervisors on the implementation of the hybrid approach to the allocation of operational risk capital across home and host jurisdictions.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision Topic(s): Cooperation among Authorities, Operational Risk, Risk Management

• 1 October 2003 Securities Activity on the Internet

  These reports (issued in October 2003, Jun 2001 and Sep 1998) examine and provide guidance on issues relating to the impact of the Internet on securities regulation. They identify those Internet issues that should be addressed by each jurisdiction and provide guidelines on how to approach those issues.

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

• 25 September 2003 Statement of Principles for Addressing Sell-Side Securities Analyst Conflicts of Interest

  This document sets out principles that are intended to address key issues regarding analyst conflicts of interest.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Financial Education, Governance, Market Regulation

• 1 September 2003 IOSCO Statement Of Principles Regarding The Activities Of Credit Rating Agencies

  This document sets out principles for the activities of credit rating agencies (CRAs).

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

• 1 August 2003 High-level principles for the cross-border implementation of the New Accord

  This document sets out 6 principles that should apply in fostering closer practical cooperation between supervisors so as to implement the New Accord as effectively and efficiently as possible.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision Topic(s): Cooperation among Authorities, Risk Management