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.
Compendium
1 July 2017
This IOSCO document sets out 38 Principles of securities regulation, which are based upon three objectives of securities regulation: protecting investors; ensuring that markets are fair, efficient and transparent; reducing systemic risk. This document is a revised version of the Principles adopted in 2010.
4 April 2017
This BCBS document contains the guidelines on the prudential treatment of problem assets, which provide definitions of non-performing exposures and forbearance.
This CPMI-IOSCO report provides technical guidance to authorities to enable them to set rules on assigning uniform global Unique Transaction Identifiers (UTIs) to over-the-counter (OTC) derivatives transactions.
This Application Paper documents ideas on approaches that IAIS members may wish to consider when developing or revising a regime for the supervision of intermediaries, including when implementing ICP 18 (Intermediaries) and the relevant aspects of ICP 19 (Conduct of business), and incorporating them into their broader supervisory frameworks.
1 October 2016
This guidance explains the FATF’s requirements in the context of correspondent banking services and clarifies that the FATF Recommendations do not require correspondent financial institutions to conduct customer due diligence on each individual customer of their respondent institutions’ customers.
This document is an additional guidance in the application of the Committee's Core Principles for Effective Banking Supervision to the supervision of financial institutions engaged in serving the financially unserved and underserved.
27 September 2016
High-level principles for the regulation of occupational (and other private) pension systems, covering pension funds and other financing mechanisms for pension arrangements.
18 August 2016
The principles are intended to assist authorities in their resolution planning and address the risk of banks having insufficient liquidity to maintain the continuity of critical functions in resolution.
This Guidance should assist supervisory and resolution authorities and firms to evaluate whether firms that are subject to resolution planning requirements have appropriate arrangements to support operational continuity if the firm enters resolution.