Compendium of Standards

• 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.

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

• 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.

  Content Type(s): Compendium Source(s): IADI Policy Area(s): Institutional and Market Infrastructure Topic(s): Cooperation among Authorities, Resolution/Crisis Management/Safety Nets

• 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.

  Content Type(s): Compendium Source(s): CPMI Policy Area(s): Institutional and Market Infrastructure Topic(s): Central Banking, 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.

  Content Type(s): Compendium Source(s): IADI Policy Area(s): Institutional and Market Infrastructure Topic(s): Cooperation among Authorities, Resolution/Crisis Management/Safety Nets

• 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).

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): AML/CFT, Market Regulation, Pensions

• 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.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision Topic(s): Basel I/II/III, Market Risk, Risk Management

• 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 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