Archives - Financial Regulation and Supervision
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6 September 2013 G20/OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors
The purpose of the G20/OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors is to assist G20 and OECD countries and other interested economies to establish a framework for encouraging institutional investment in long-term assets. -
30 July 2013 Supervisory Colleges for Credit Rating Agencies
This report recommends that supervisory colleges for internationally active CRAs (CRA colleges) be established to serve as a resource for CRA supervisors by facilitating information exchange and, if appropriate, cooperation. -
18 July 2013 Global Systemically Important Insurers: Policy Measures
This standard contains a framework of policy measures that should be applied to insurers that are determined to be global systemically important insurers (G-SIIs). -
17 July 2013 Principles for Financial Benchmarks
An overarching framework containing guidance and principles for Benchmark-related activities that will address conflicts of interest in the Benchmark-setting process, as well as transparency and openness when considering issues related to transition. -
24 June 2013 Principles for the Regulation of Exchange Traded Funds
This report outlines a list of 9 principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning Exchange Traded Funds (ETF). Generally, these principles reflect a common approach and are a practical guide for regulators and industry practitioners. -
1 June 2013 International Best Practices: Targeted Financial Sanctions Related to Terrorism and Terrorist Financing (Recommendation 6)
This updated best practices paper reflects the latest relevant United Nations Security Council Resolutions (UNSCRs) in response to challenges faced by countries in the implementation of Recommendation 6, which requires countries to implement the targeted financial sanctions regimes to comply with UNSCRs relating to the prevention and suppression of terrorism and terrorist financing, such as UNSCR 1267(1999) and its successor resolutions, and UNSCR 1373(2001). -
1 June 2013 FATF Guidance: The Implementation of Financial Provisions of United Nations Security Council Resolutions to Counter the Proliferation of Weapons of Mass Destruction
The new guidance assists countries in implementing not only targeted financial sanctions, but also other measures, such as activity-based financial prohibitions and vigilance measures. -
1 June 2013 Guidance for a Risk-Based Approach to Prepaid Cards, Mobile Payments and Internet-Based Payment Services
This Guidance examines how new and innovative payment products and services work, and how to regulate and supervise this activity in line with a risk-based approach. -
1 June 2013 FATF Guidance: Politically Exposed Persons (Recommendations 12 and 22)
This Guidance will assist in the effective implementation of these additional measures for foreign, domestic and international organisation PEPs, their family members and close associates, as set out in Recommendations 12 and 22. -
7 May 2013 Principles for the Valuation of Collective Investment Schemes
This document outlines a set of 11 principles for the valuation of Collective Investment Schemes (CIS) and are intended to be a basis against which both the industry and regulators can assess the quality of regulation and industry practices concerning CIS valuation.