Financial Regulation and Supervision

Guidance on central counterparty resolution and resolution planning

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

Objectives and Principles of Securities Regulation

This IOSCO document sets out 38 Principles of securities regulation, which are based upon three objectives of securities regulation: protecting investors; ensuring that markets are fair, efficient and transparent; reducing systemic risk. This document is a revised version of the Principles adopted in 2010.

Keynote speech: What a Difference a Decade Makes

Keynote speech by Mark Carney, Governor of the Bank of England and Chair of the Financial Stability Board, at the Institute of International Finance’s Washington Policy Summit, on 20 April 2017.  

Ten years on: fixing the fault lines of the global financial crisis

Article by Mark Carney, Governor of the Bank of England and Chair of the Financial Stability Board, for the Banque de France Financial Stability Review 2017.  

Prudential treatment of problem assets – definitions of non-performing exposures and forbearance

This BCBS document contains the guidelines on the prudential treatment of problem assets, which provide definitions of non-performing exposures and forbearance.

The Promise of FinTech – Something New Under the Sun?

Speech given by Mark Carney, Governor of the Bank of England and Chair of the Financial Stability Board, for the G20 conference on "Digitising finance, financial inclusion and financial literacy", Wiesbaden.

Application Paper on Approaches to Supervising the Conduct of Intermediaries

This Application Paper documents ideas on approaches that IAIS members may wish to consider when developing or revising a regime for the supervision of intermediaries, including when implementing ICP 18 (Intermediaries) and the relevant aspects of ICP 19 (Conduct of business), and incorporating them into their broader supervisory frameworks.

Guidance on correspondent banking services

This guidance explains the FATF’s requirements in the context of correspondent banking services and clarifies that the FATF Recommendations do not require correspondent financial institutions to conduct customer due diligence on each individual customer of their respondent institutions’ customers.

Guidance on the application of the Core Principles for Effective Banking Supervision to the regulation and supervision of institutions relevant to financial inclusion

This document is an additional guidance in the application of the Committee's Core Principles for Effective Banking Supervision to the supervision of financial institutions engaged in serving the financially unserved and underserved.

Guiding principles on the temporary funding needed to support the orderly resolution of a global systemically important bank (“G-SIB”)

The principles are intended to assist authorities in their resolution planning and address the risk of banks having insufficient liquidity to maintain the continuity of critical functions in resolution.

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