These principles are the guidelines that focus on the core elements of stress testing frameworks.
Financial Regulation and Supervision
17 October 2018
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.
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.
The supervisory stress testing framework is designed to support tests conducted by one or more authorities that examine the potential macro-level impact of a common stress event affecting multiple CCPs.
9 April 2018
This document provides technical guidance on the definition, format and allowable values of critical data elements of OTC derivative transactions, other than UTI and UPI (CDE), reported to trade repositories and important to aggregation by authorities.
The recommendations emphasize the importance of ensuring the availability of corporate bond information, both to regulators in the form of reporting and to the public in the form of transparency requirements, thus enhancing pre-trade and post-trade transparency.
9 March 2018
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.
19 February 2018
This document assesses how fintech may affect the banking industry and bank supervision and provides key implications and related considerations for banks and bank supervisors.