Archives - Risk Management

• 23 November 2018 Recommendations for national supervisors: Reporting on the use of compensation tools to address potential misconduct risk

  These Recommendations complement the FSB’s Supplementary Guidance to the FSB Principles and Standards on Sound Compensation Practices by setting out the types of data that can support improved monitoring by supervisory authorities on the use of compensation tools to address misconduct risk in significant financial institutions.

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

• 20 April 2018 Strengthening governance frameworks to mitigate misconduct risk: a toolkit for firms and supervisors

  This report provides a toolkit that firms and supervisors can use to mitigate misconduct risk.

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

• 9 March 2018 Supplementary guidance to the FSB Principles and Standards on sound compensation practices

  This supplementary guidance provides firms and supervisors with a framework to consider how compensation practices and tools, such as in-year bonus adjustments, malus or clawback, can be used to reduce misconduct risk and address misconduct incidents.

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

• 25 October 2017 Identification and management of step-in risk

  This BCBS document contains the guidelines on identification and management of step-in risk, which aim to mitigate the systemic risks stemming from potential financial distress in shadow banking entities spilling over to banks.

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

• 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

• 12 January 2017 Policy recommendations to address structural vulnerabilities from asset management activities

  This FSB report sets out 14 policy recommendations to address structural vulnerabilities from asset management activities that could potentially present financial stability risks.

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

• 12 November 2015 Regulatory framework for haircuts on non-centrally cleared securities financing transactions

  The regulatory framework for haircuts on non-centrally cleared securities financing transactions (SFTs) is intended to limit the build-up of excessive leverage outside the banking system, and to help reduce procyclicality of that leverage.

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

• 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

• 2 June 2015 Developments in credit risk management across sectors: current practices and recommendations

  The report provides insight into the current supervisory framework around credit risk, the state of credit risk management at firms and implications for the supervisory and regulatory treatments of credit risk.

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

• 28 January 2015 Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives

  The risk mitigation standards for non-centrally cleared over-the-counter (OTC) derivatives.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation, Risk Management