Compendium of Standards

• 4 November 2017 Guidance on AML/CFT measures and financial inclusion, with a supplement on customer due diligence

  The objective of this updated FATF report is to encourage countries to make use of the FATF Recommendations’ flexibility to provide sound financial services to the financially excluded.

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

• 3 November 2017 Guidance on private sector information sharing

  This FATF guidance sets out the obstacles related to effective exchange of information between financial institutions, articulates the requirements of the FATF Recommendations in this context and aims to improve effective information sharing.

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

• 25 October 2017 Identification and management of step-in risk

  This BCBS document contains the guidelines on identification and management of step-in risk, which aim to mitigate the systemic risks stemming from potential financial distress in shadow banking entities spilling over to banks.

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

• 19 September 2017 Application paper on regulation and supervision of mutuals, cooperatives and community-based organisations in increasing access to insurance markets

  Based on the IAIS Insurance Core Principles the Paper provides guidance on the supervision of Mutuals, Cooperatives and Community-based Organisations (MCCOs) to increase access to insurance markets.

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

• 1 September 2017 Harmonisation of the unique product identifier – technical guidance

  This CPMI-IOSCO report provides technical guidance to authorities to enable them to set rules on assigning uniform global Unique Product Identifiers (UPI) to products involved in OTC derivatives transactions.

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

• 6 July 2017 Guidance on continuity of access to Financial Market Infrastructures (FMIs) for a Firm in Resolution

  FSB guidance on how firms that have entered resolution should continue to have access to financial market infrastructures (FMIs).

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Financial Regulation and Supervision Topic(s): Resolution/Crisis Management/Safety Nets

• 6 July 2017 Guiding Principles on the Internal Total Loss-Absorbing Capacity of G-SIBs (‘Internal TLAC’)

  These guiding FSB principles are intended to assist authorities and firms as they implement the internal total loss-absorbing capacity (internal TLAC) requirement of the FSB’s TLAC standard.

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Financial Regulation and Supervision Topic(s): Resolution/Crisis Management/Safety Nets

• 5 July 2017 Guidance on central counterparty resolution and resolution planning

  FSB guidance to assist authorities in their resolution planning for CCPs and to promote international consistency

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Financial Regulation and Supervision Topic(s): Resolution/Crisis Management/Safety Nets

• 5 July 2017 Recovery of financial market infrastructures

  This report is a revision of the October 2014 CPMI-IOSCO report on Recovery of financial market infrastructures, and is intended to further strengthen recovery arrangements for financial market infrastructures.

  Content Type(s): Compendium Source(s): CPMI, IOSCO Policy Area(s): Institutional and Market Infrastructure Topic(s): Payment Systems, Resolution/Crisis Management/Safety Nets

• 1 July 2017 Resilience of central counterparties (CCPs): further guidance on the PFMI – final report

  The purpose of this CPMI-IOSCO report is to provide guidance on certain principles and key considerations of the Principles for Financial Market Infrastructures (PFMI) relating to CCP financial risk management.

  Content Type(s): Compendium Source(s): CPMI, IOSCO Policy Area(s): Institutional and Market Infrastructure Topic(s): Market Regulation, Risk Management