Compendium of Standards
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1 March 2006 Compliance Function at Market Intermediaries
This document sets out principles with measures for implementation to assist market intermediaries to increase the effectiveness of their compliance function. -
12 January 2006 General Guidance to Promote Effective Interrelationships among Financial Safety Net Participants
This paper provides practical advice to safety net participants on how to promote interrelationships that will contribute to financial stability. -
1 January 2006 General guidance for national payment system development
The document provides assistance and advice on the planning and implementation of reforms in national payment systems. -
5 December 2005 General Guidance for the Resolution of Bank Failures
This paper provides general guidance for deposit insurers and other safety net participants interested in establishing or enhancing their mechanisms for the resolution of failed or failing banks. -
1 October 2005 Anti-Money Laundering Guidance for Collective Investment Schemes
The document provides guidelines on how to apply global AMF/CFT standards to the operation of collective investment schemes (CIS). -
13 July 2005 Guidance on the estimation of loss given default (Reference to Paragraph 468 of the Basel II framework)
This document provides further clarification surrounding the quantification of loss-given-default (LGD) parameters used for Pillar 1 capital calculations.This guidance is not intended to amend the Revised Basel II Framework Document issued in June 2004 or to introduce any new rules. -
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. -
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. -
15 February 2005 Outsourcing in Financial Services
This document presents a set of principles to assist firms and regulators in considering their outsourcing activities -
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.