This document addresses the question of information sharing between home and host supervisors under the Basel II Capital Framework.
Financial Regulation and Supervision
1 March 2006
This document sets out principles with measures for implementation to assist market intermediaries to increase the effectiveness of their compliance function.
The document provides guidelines on how to apply global AMF/CFT standards to the operation of collective investment schemes (CIS).
13 July 2005
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
This document provides basic guidance for banks and sets out banking supervisors' views on compliance in banking organisations.
15 February 2005
This document presents a set of principles to assist firms and regulators in considering their outsourcing activities
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.
1 October 2003
These reports (issued in October 2003, Jun 2001 and Sep 1998) examine and provide guidance on issues relating to the impact of the Internet on securities regulation. They identify those Internet issues that should be addressed by each jurisdiction and provide guidelines on how to approach those issues.
25 September 2003
This document sets out principles that are intended to address key issues regarding analyst conflicts of interest.
This document sets out principles for the activities of credit rating agencies (CRAs).