Archives - Financial Regulation and Supervision
-
1 September 2006 The IRB Use Test: Background and Implementation
This document presents a number of principles that are intended to support banks and supervisors in interpreting the key use test provisions of the Basel II Framework. -
29 August 2006 High-Level Principles for Business Continuity
The document outlines business continuity principles that apply to industry participants and financial authorities. -
14 June 2006 Supervisory guidance on the use of the fair value option for financial instruments by banks
This document was issued to provide supervisors with guidance on the prudential supervision of banks' implementation of the fair value option. -
2 June 2006 Home-host information sharing for effective Basel II implementation
This document addresses the question of information sharing between home and host supervisors under the Basel II Capital Framework. -
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. -
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. -
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.