The guidance forms a basis for supervisors and firms to promote and develop a shared understanding of the firm's risk culture and have informed conversations with the board and senior management who set the tone on culture from the top.
Financial Regulation and Supervision
31 March 2014
This document describes supervisory expectations regarding audit quality and how that relates to the work of the external auditor and of the audit Committee in a bank.
12 January 2014
This document has been published to assist supervisors in their evaluation of the liquidity profile of assets held by banks, and to help promote greater of consistency in High Quality Liquid Assets (HQLA) classifications across jurisdictions, for the purposes of Basel III's LCR.
1 January 2014
This Report sets out eight Principles regarding the protection of client assets.
20 December 2013
The document provides guidance to group-wide supervisors on how they would direct global systemically important insurers (G-SIIs) to develop systemic risk management plans (SRMPs).
1 December 2013
This Report sets out a toolkit outlining regulatory options that IOSCO members may find useful in their regulation of retail structured products.
1 December 2013
This Report identifies possible outstanding issues and risks posed by existing or developing market structures and includes recommendations to address the identified potential risks.
18 November 2013
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.
1 November 2013
The Good Practices provide a list of internationally recognised good governance criteria for consideration and action by pension supervisors. They allow supervisory authorities to compare and evaluate their own governance codes against current global good practices and enable them to take measures to improve them, if necessary.
This Best Practices Paper aims to provide policy makers and practitioners with guidance and best practices on how AML/CFT measures can be used to combat corruption.