Compendium

IOPS Guidelines for the Supervisory Assessment of Pension Funds

The purpose of these guidelines is to provide pension supervisors with general supervisory approaches for the conduct of the supervisory process.

Generally Accepted Principles and Practices for Sovereign Wealth Funds (“Santiago Principles”)

The purpose of the Santiago Principles is to identify a framework of generally accepted principles and practices that properly reflect appropriate governance and accountability arrangements as well as the conduct of investment practices by SWFs on a prudent and sound basis.

Principles for Sound Liquidity Risk Management and Supervision

This document expanded the 2000 Sound Practices for Managing Liquidity in Banking Organisations in a number of key areas by taking into account financial market developments as well as lessons learned from the turmoil.

Credit Risk Transfer

The documents review credit risk transfer (CRT) activity on the basis of a number of interviews and discussions with market participants, and include recommendations to improve risk management practices, disclosure, and supervisory approaches for CRT.

Central bank operations in response to the financial turmoil

This report examines how major central banks adapted market operations in response to money market tensions during the early phase of the crisis (2007-08).

Code of Conduct Fundamentals for Credit Ratings Agencies

Following publication of the CRA Principles, IOSCO decided to develop a more specific and detailed code of conduct giving guidance on how the Principles could be implemented in practice. This Code of Conduct Fundamentals for Credit Rating Agencies is the fruition of this exercise.

Progress in reducing foreign exchange settlement risk

In 1996, the G10 central banks endorsed a strategy to reduce the systemic risk arising from the settlement of foreign exchange (FX) trades. This report analyses the significant progress that has been made in implementing the strategy and makes specific recommendations for further action by individual institutions, industry groups and central banks.

OECD/IOPS Guidelines on the Licensing of Pension Entities

These guidelines provide a framework for licensing regulations and the assessment of licensing applications from pension entities.

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