Archives - Governance

• 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.

  Content Type(s): Compendium Source(s): IAIS Policy Area(s): Financial Regulation and Supervision Topic(s): Governance, Prudential Supervision and Oversight

• 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.

  Content Type(s): Compendium Source(s): OECD Policy Area(s): Institutional and Market Infrastructure Topic(s): 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.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision Topic(s): Governance, Prudential Supervision and Oversight, Risk Management

• 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.

  Content Type(s): Compendium Source(s): FSB Policy Area(s): Financial Regulation and Supervision Topic(s): Governance, Prudential Supervision and Oversight, Risk Management

• 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.

  Content Type(s): Compendium Source(s): OECD Policy Area(s): Financial Regulation and Supervision Topic(s): Financial Education, Governance, Prudential Supervision and Oversight

• 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.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Accounting and Auditing, Governance, Transparency and Disclosure

• 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.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Governance, Market Regulation, Transparency and Disclosure

• 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.

  Content Type(s): Compendium Source(s): BCBS Policy Area(s): Financial Regulation and Supervision Topic(s): Accounting and Auditing, Governance, Prudential Supervision and Oversight

• 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.

  Content Type(s): Compendium Source(s): OECD Policy Area(s): Financial Regulation and Supervision Topic(s): Governance, Prudential Supervision and Oversight

• 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.

  Content Type(s): Compendium Source(s): IADI Policy Area(s): Institutional and Market Infrastructure Topic(s): Governance, Resolution/Crisis Management/Safety Nets