Archives - Financial Regulation and Supervision
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28 June 2012 The internal audit function in banks
This revised supervisory guidance for assessing the effectiveness of the internal audit function in banks forms part of the Committee's ongoing efforts to address bank supervisory issues and enhance supervision through guidance that encourages sound practices within banks. It takes into account developments in supervisory practices and in banking organisations and incorporates lessons drawn from the recent financial crisis. -
3 June 2012 Regulation of Institutional Investors in Emerging Markets
This report makes recommendations to help emerging market regulators and policy makers develop and regulate institutional investors. -
1 June 2012 International Standards for Derivatives Market Intermediary Regulation
This report focuses on the regulation of Derivatives Market Intermediaries (DMIs). The recommendations in the report are intended to address: DMI obligations that should help mitigate systemic risks; requirements intended to manage counterparty risk; and protecting participants in the OTC derivatives markets from unfair, improper or fraudulent practices. -
1 May 2012 IOSCO Multilateral Memorandum of Understanding
This document is the basis for cooperation and exchange of information among IOSCO members and sets an international benchmark for cross-border cooperation. -
18 April 2012 FSB Principles for Sound Residential Mortgage Underwriting Practices
The principles provide a framework for jurisdictions to set minimum acceptable underwriting standards so as to limit the risks that mortgage markets pose to financial stability and to better safeguard borrowers and investors. The report also sets out an implementation framework through which jurisdictions can apply minimum lending standards, and describes tools that could be used to monitor and supervise these standards. -
2 February 2012 Requirements for Mandatory Clearing
This report outlines recommendations that authorities should follow in establishing a mandatory clearing regime within their jurisdiction. -
19 January 2012 Suspension of Redemptions in Collective Investment Schemes
Principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning suspensions of redemptions. -
1 January 2012 Report on OTC Derivatives Data Reporting and Aggregation Requirements
Obligation of OTC derivatives contracts to be reported to trade repositories (TRs) in order to improve transparency, mitigate systemic risk and protect against market abuse in the OTC derivatives markets. -
1 December 2011 OECD/IOPS Good Practices on Pension Funds' Use of Alternative Investments and Derivatives
The good practices reflect what pension regulatory and supervisory authorities usually expect to examine when assessing the risk management of pension funds that use alternative investments and derivatives. -
1 October 2011 Regulation of Nominee Accounts in Emerging Markets
This report intends to identify effective regulatory mechanisms and tools for the nominee account system, develop recommendations to better regulate nominee accounts and help regulators address relevant investor protection issues.