This non-binding guidance aims to support the design and implementation of the risk-based approach for securities products and services, by providing specific guidance and examples for securities providers and their supervisors.
Compendium
26 October 2018
25 October 2018
This non-binding guidance aims to support the design and implementation of the risk-based approach for life insurance products and services, by providing specific guidance and examples for life insurance providers and their supervisors.
17 October 2018
These principles are the guidelines that focus on the core elements of stress testing frameworks.
19 September 2018
The guidance identifies and promotes regulatory approaches that can enhance the protection of retail investors in the area of OTC leveraged products offered and sold to retail investors.
18 September 2018
Guidance to address the identified risks and the potential harm caused by specific, existing conflicts of interest and associated misconduct which can arise during the equity capital raising process.
1 August 2018
Recommendations applicable to the establishment, use and on-going monitoring of mechanisms that may be used to manage extreme, including abnormal, volatility, and/or preserve orderly trading.
This guidance covers the development of a resolution funding plan for G-SIBs. It builds on the FSB’s August 2016 Guiding Principles on the temporary funding needed to support the orderly resolution of a global systemically important bank (G-SIB) and existing supervisory and resolution guidance on liquidity risk management and resolution planning.
21 June 2018
This guidance sets out principles for authorities to consider as they develop plans for the effective execution of bail-in resolution strategies for global systemically important banks (G-SIBs). The principles may also be applicable to firms other than G-SIBs to the extent that the application of bail-in powers is envisaged under the authorities’ resolution strategy for those firms.
A high-level strategy to reduce the risk of wholesale payments fraud related to endpoint security.
Strengthening governance frameworks to mitigate misconduct risk: a toolkit for firms and supervisors
20 April 2018
This report provides a toolkit that firms and supervisors can use to mitigate misconduct risk.