This report intends to identify effective regulatory mechanisms and tools for the nominee account system, develop recommendations to better regulate nominee accounts and help regulators address relevant investor protection issues.
Financial Regulation and Supervision
1 October 2011
1 October 2011
These recommendations are aimed at promoting market integrity and efficiency and at mitigating the risks posed to the financial system by the latest technological developments including high frequency and algorithmic trading.
These principles are aimed at ensuring a globally consistent approach to the oversight of commodity derivatives markets which will deliver effective supervision, combat market manipulation and improve price transparency.
The document identifies supervisory guidelines associated with the development and maintenance of key internal governance, data and modelling frameworks underlying the Advanced Measurement Approaches for operational risk.
The document outlines a set of principles that provide a framework for the effective management and supervision of operational risk, for use by banks and supervisory authorities when evaluating operational risk management policies and practices. It updates the February 2003 Sound Practices for the Management and Supervision of Operational Risk.
19 May 2011
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.
1 May 2011
These principles focus on a number of areas of regulatory concern which may adversely impact the market including transparency and price discovery, market fragmentation, knowledge of trading intentions, fair access; and the ability to assess actual trading volume in dark pools.
1 February 2011
Principles that are designed to assist markets and market authorities when considering point of sale disclosure requirements for collective investment schemes (CIS).
The good practices reflect what pension regulatory and supervisory authorities usually expect to examine when assessing the risk management of pension funds that use alternative investments and derivatives are designed to help supervisory authorities in their oversight of alternative investments made by pension funds.
This document serves as a supplement to the requirements set out in the Basel III rules text. In addition to providing guidance for national authorities, this document should help banks understand and anticipate the buffer decisions in the jurisdictions to which they have credit exposures.