Archives - Governance
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9 November 2017 Application paper on group corporate governance
This IAIS Application Paper identifies good supervisory practices and examples to address challenges specific to the governance of insurance groups. -
5 September 2015 G20/OECD Principles of Corporate Governance
The Principles are intended to assist in the evaluation and improvement of the legal, institutional and regulatory framework that influences corporate governance, and also provide guidance for stock exchanges, investors, corporations and others that have a role in developing good corporate governance. -
8 July 2015 Corporate governance principles for banks
This document contains a set of principles for enhancing sound corporate governance practices at banking organisations. The Basel Committee's revised principles provide a framework within which banks and supervisors should operate to achieve robust and transparent risk management and decision-making and, in doing so, promote public confidence and uphold the safety and soundness of the banking system. -
18 November 2013 Principles for an Effective Risk Appetite Framework
The FSB Principles set out key elements for an effective risk appetite framework (RAF) and establish common definitions for terms used in risk appetite frameworks. The Principles aim to help enhance supervisory oversight of firms, in particular of SIFIs, and communication between supervisors and financial institutions. -
6 September 2013 G20/OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors
The purpose of the G20/OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors is to assist G20 and OECD countries and other interested economies to establish a framework for encouraging institutional investment in long-term assets. -
17 July 2013 Principles for Financial Benchmarks
An overarching framework containing guidance and principles for Benchmark-related activities that will address conflicts of interest in the Benchmark-setting process, as well as transparency and openness when considering issues related to transition. -
24 June 2013 Principles for the Regulation of Exchange Traded Funds
This report outlines a list of 9 principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning Exchange Traded Funds (ETF). Generally, these principles reflect a common approach and are a practical guide for regulators and industry practitioners. -
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. -
19 May 2011 OECD Guidelines on Insurer Governance
This document provide guidance and serve as a reference point for insurers, governmental authorities, and other relevant stakeholders. They are applicable to any insurer licensed to underwrite life, non–life and reinsurance policies and take into account the specificities of the sector. -
6 May 2009 Guidance on Governance of Deposit Insurance Systems
This IADI guidance paper reviews the governance frameworks used by deposit insurers and, where appropriate, suggests guidance in the form of principles and effective practices in order to enhance the sound governance of deposit insurance systems.