Archives - Institutional and Market Infrastructure

• 1 August 2018 Mechanisms Used by Trading Venues to Manage Extreme Volatility and Preserve Orderly Trading

  Recommendations applicable to the establishment, use and on-going monitoring of mechanisms that may be used to manage extreme, including abnormal, volatility, and/or preserve orderly trading.

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

• 21 June 2018 Funding strategy elements of an implementable resolution plan

  This guidance covers the development of a resolution funding plan for G-SIBs. It builds on the FSB’s August 2016 Guiding Principles on the temporary funding needed to support the orderly resolution of a global systemically important bank (G-SIB) and existing supervisory and resolution guidance on liquidity risk management and resolution planning.

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Institutional and Market Infrastructure, Resolution and Crisis Management

• 21 June 2018 Principles on bail-in execution

  This guidance sets out principles for authorities to consider as they develop plans for the effective execution of bail-in resolution strategies for global systemically important banks (G-SIBs). The principles may also be applicable to firms other than G-SIBs to the extent that the application of bail-in powers is envisaged under the authorities’ resolution strategy for those firms.

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Institutional and Market Infrastructure, Resolution and Crisis Management

• 8 May 2018 Strategy to reduce the risk of wholesale payments fraud related to endpoint security

  A high-level strategy to reduce the risk of wholesale payments fraud related to endpoint security.

  Content Type(s): Compendium Source(s): CPMI Policy Area(s): Institutional and Market Infrastructure

• 5 April 2018 Regulatory Reporting and Public Transparency in the Secondary Corporate Bond Markets

  The recommendations emphasize the importance of ensuring the availability of corporate bond information, both to regulators in the form of reporting and to the public in the form of transparency requirements, thus enhancing pre-trade and post-trade transparency.

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

• 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

• 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

• 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