中外金融监管动态  > 新刊

第4期

北京大学金融法研究中心

全球金融监管动态简报

2015年第4

本期范围:中国(含香港)、英国和国际组织

2015.1.19—2015.3.1

 

 

 

编号                                         内容                                         页码

1

中国人民银行

1

 

1

中国人民银行、银监会、证监会、保监会印发指导意见促进南疆经济发展和社会稳定

1

 

2

中国人民银行 中国保监会联合发布公告允许保险公司在全国银行间债券市场发行资本补充债券

1

2

中国银监会

1

 

1

中国银监会发布2014年度监管统计数据

1

 

2

中国银监会修订发布《商业银行杠杆率管理办法》

1

 

3

依法监管、为民监管、风险监管 中国银监会实行监管架构改革

2

 

4

中国银监会、国家发改委发布《能效信贷指引》

2

3

中国证监会

2

 

1

中国证监会发布《行政和解试点实施办法》

2

 

2

中国证监会进一步提高首发及再融资审核工作透明度

2

4

中国保监会

2

 

1

中国保监会、国家发展改革委联合印发《中国保险业信用体系建设规划(2015-2020年)》

2

 

2

偿二代监管规则正式发布 保险业新偿付能力监管制度体系基本建成

3

 

3

中国保监会积极稳妥推进商业车险条款费率管理制度改革

3

 

4

我国食品安全责任保险制度初步建立

3

 

5

中国保监会等五部门形成合力支持小微企业发展

3

5

英国金融行为管理局

4

 

1

PS15/4: Retirement Reforms and the Guidance Guarantee

4

 

2

CP15/6: Consumer Credit - Proposed Changes to Our Rules and Guidance

4

 

3

CP15/5: Approach to Non-executive Directors in Banking and Solvency II Firms & Application of the Presumption of Responsibility to Senior Managers in Banking Firms

4

 

4

CP15/4: Whistleblowing in Deposit-takers, PRA-designated Investment Firms and Insurers

4

 

5

CP15/3 Buy-to-let Mortgages: Implementing the Mortgage Credit Directive Order 2015

5

 

6

PS15/3: Final Rules for Independent Governance Committees, Including Feedback on CP14/16

5

 

7

PSR CP15/1: PSR Competition Concurrency Guidance

5

 

8

FCA Introduces Additional Protection for Consumers Ahead of Pension Freedoms

5

 

9

CP15/2: Financial Services Compensation Scheme – Management Expenses Levy Limit 2015/162015.1.19

6

6

国际清算银行

6

 

1

Quantitative Disclosure Standards for Central Counterparties Issued by CPMI and IOSCO

6

 

2

Monitoring the Implementation of Standards

6

 

3

Developments in Credit Risk Management Across Sectors: Current Practices and Recommendations - Consultative Document

6

 

4

Revised Pillar 3 Requirements Issued by the Basel Committee

7

 

5

Second Progress Report on Banks' Adoption of Risk Data Aggregation Principles Issued by the Basel Committee

7

7

国际证监会组织

7

 

1

IOSCO Reviews Implementation of Financial Benchmark Principles

7

 

2

IOSCO Requests Public Comment on Continuing Implementation of PRA Principles

8

 

3

IOSCO Publishes Final Report on Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives

8

             

 

 

中国人民银行网站动态http://www.pbc.gov.cn/

1人民银行、银监会、证监会、保监会印发指导意见促进南疆经济发展和社会稳定2015.2.12

为贯彻落实中央第二次新疆工作座谈会精神,进一步支持新疆经济发展、社会稳定和长治久安,日前中国人民银行联合银监会、证监会、保监会发布了《关于金融支持南疆四地州经济发展和社会稳定的意见》(以下简称《意见》)。《意见》共分六部分二十二条,分别从加大金融政策支持力度,引导扩大信贷投放;深化间接融资,提升金融服务水平;培育发展金融市场,扩大直接融资;支持保险业发展,提高保障水平;加快金融创新,落实向西开放战略;加快基础设施建设,优化金融生态环境等方面支持南疆地区经济发展和维护社会稳定。提出对南疆四地州实施差异化的信贷政策、完善金融扶贫开发政策和薄弱环节的金融服务、支持南疆企业通过多层次股权市场融资、扩大债券融资规模、大力发展农业保险、推进跨境人民币业务和外汇管理业务创新,并在支付环境、国库服务、征信体系、反恐怖融资、货币发行、人才成长激励等方面给予更多支持。

详情请见:

http://www.pbc.gov.cn/publish/goutongjiaoliu/524/2015/20150212104839532147738/20150212104839532147738_.html

2中国人民银行 中国保监会联合发布公告允许保险公司在全国银行间债券市场发行资本补充债券2015.1.22

近日,中国人民银行与中国保监会联合发布2015年第3号公告,允许保险公司在全国银行间债券市场发行资本补充债券。资本补充债券是指保险公司发行的用于补充资本,发行期限在五年以上(含五年),清偿顺序列于保单责任和其他普通负债之后,先于保险公司股权资本的债券。推进保险公司在银行间债券市场发行资本补充债券有利于拓宽保险公司资本补充渠道,提高保险公司偿付能力和抵御风险能力。同时,保险公司长期以来主要作为投资主体参与银行间债券市场,引入保险公司发行债券,也有利于扩大银行间债券市场发行主体,丰富市场投资品种。

详情请见:

http://www.pbc.gov.cn/publish/goutongjiaoliu/524/2015/20150122180854317640715/20150122180854317640715_.html

 

 

中国银行业监督管理委员会网站动态http://www.cbrc.gov.cn/

1中国银监会发布2014年度监管统计数据2015.2.13

摘要:近日,中国银监会发布2014年度监管统计数据。银行业资产和负债规模稳步增长;对经济社会重点领域和民生工程的金融服务继续加强;信用风险继续上升,信贷资产质量总体可控;银行业整体风险抵补能力较强,银行业利润增长保持平稳;针对信用风险计提的减值准备较为充足;资本充足率继续维持在较高水平;流动性水平比较充裕。

详情请见:

http://www.cbrc.gov.cn/chinese/home/docView/D02B2CFC60F84AD5969DEFA88181BF34.html

2中国银监会修订发布《商业银行杠杆率管理办法》2015.2.12

摘要:为进一步完善我国银行业杠杆率监管政策框架,中国银监会对《商业银行杠杆率管理办法》(银监会2011年第3号令,以下简称《办法》)进行了修订,于近日正式发布。201012月,巴塞尔委员会发布了《第三版巴塞尔协议》,引入杠杆率指标,作为风险加权的资本充足率的有益补充。据此,银监会于20116月发布了《办法》,确立了我国银行业杠杆率监管政策的总体框架。修订后的《办法》保持了原有的基本框架和监管标准,共有5章、25条和3个附件,规定了杠杆率监管的基本原则、杠杆率的计算方法、披露要求和监督管理等。

详情请见:

http://www.cbrc.gov.cn/chinese/home/docView/5B9A2F7238D94D69A445F54A1FFBFFDE.html

3依法监管、为民监管、风险监管 银监会实行监管架构改革2015.1.20

摘要:为认真贯彻党的十八大和十八届三中、四中全会深化金融改革、推进依法监管的重大决策和国务院转变政府职能的要求,银监会对银监会监管组织架构进行重大改革,并获中央有关部门批准通过。改革内容包括:从规制监管、功能监管、机构监管、监管支持四个条线,对内设机构重新进行了职责划分和编制调整;二是撤销2个部门(培训中心、信息中心),设立城市商业银行监管部和信托监督管理部,专司对信托业金融机构的监管职责;改造3个部门(统计部、银行业案件稽查局、融资性担保业务工作部),设立审慎规制局、现场检查局、银行业普惠金融工作部;按监管职责内容命名各机构监管部。

详情请见:

http://www.cbrc.gov.cn/chinese/home/docView/67163D0D8293499BA499D2A9705C61CD.html

4中国银监会、国家发改委发布《能效信贷指引》2015.1.19

摘要:为进一步落实国家节能低碳发展战略,促进能效信贷持续健康发展,近日,中国银监会与国家发展改革委联合印发了《能效信贷指引》(以下简称《指引》),鼓励和指导银行业金融机构积极开展能效信贷业务,有效防范能效信贷业务相关风险,支持产业结构调整和企业技术改造升级,促进节能减排,推动绿色发展。一是界定能效信贷内涵;二是明确能效信贷服务领域;三是列举重点能效项目;四是指明能效信贷主要方式;五是加强能效信贷业务风险管理;六是鼓励能效信贷金融创新。

详情请见:

http://www.cbrc.gov.cn/chinese/home/docView/4EF5866840CD475383F47200C1EACABE.html

 

 

3中国证券监督管理委员会网站动态http://www.csrc.gov.cn/

1)证监会发布《行政和解试点实施办法》(2015.2.27

摘要:为贯彻落实《国务院办公厅关于进一步加强资本市场中小投资者合法权益保护工作的意见》(国办发[2013]110号)关于“探索建立证券期货领域行政和解制度,开展行政和解试点”的要求,进一步加强资本市场投资者权益保护工作,经国务院批准,证监会在证券期货行政执法领域开展行政和解试点。为规范试点相关工作,证监会制定了《行政和解试点实施办法》(以下简称《实施办法》),自2015329日起施行。《实施办法》共39条,分为“总则”、“行政和解的适用范围与条件”、“行政和解的实施程序”、“行政和解金的管理和使用”、“附则”等5章。

详情请见:

http://www.csrc.gov.cn/pub/newsite/zjhxwfb/xwdd/201502/t20150227_269157.html

2)证监会进一步提高首发及再融资审核工作透明度(2015.1.23

摘要:按照新股发行体制改革的要求,贯彻落实“以信息披露为中心”的监管理念,促进投融资均衡发展,提高资本市场服务实体经济的能力,近年来,中国证监会在推进发行审核工作市场化、法治化和规范化的同时,不断提高审核工作的透明度,接受媒体和社会监督。为进一步提高首次公开发行股票和上市公司再融资审核工作的透明度,我会将在审核过程中公开首次公开发行股票和上市公司再融资审核过程中我会提出的反馈意见和反馈意见回复内容。同时,将委员在发审会上提出询问的主要问题和发审委审核意见一并向社会公开。

详情请见:

http://www.csrc.gov.cn/pub/newsite/zjhxwfb/xwdd/201501/t20150123_267099.html

 

 

4中国保险监督管理委员会网站动态http://www.circ.gov.cn/

1)中国保监会、国家发展改革委联合印发《中国保险业信用体系建设规划(2015-2020年)》(2015.2.26

摘要:为贯彻落实国务院《社会信用体系建设规划纲要(2014-2020年)》和《国务院关于加快发展现代保险服务业的若干意见》,加快推进保险业信用体系建设,日前,中国保监会、国家发展改革委联合印发了《中国保险业信用体系建设规划(2015-2020年)》(以下简称《规划》)。《规划》立足于我国保险业信用体系建设实际,紧扣社会信用体系建设总体要求和有关精神,明确了未来5年保险业信用体系建设的指导思想、基本原则和目标任务,提出了保险业信用体系建设的主要内容和具体措施,是我国保险业信用体系建设的顶层制度安排和方向性指导文件,是保监会主动适应经济发展新常态、切实保护保险消费者合法权益的一项重要举措,也是国务院《社会信用体系建设规划纲要(2014-2020年)》颁布后我国首个专门的行业性信用体系建设规划。

详情请见:

http://www.circ.gov.cn/web/site0/tab5207/info3952163.htm

2)偿二代监管规则正式发布 保险业新偿付能力监管制度体系基本建成(2015.2.17

摘要:近日,保监会正式发布中国风险导向的偿付能力体系(简称“偿二代”)17项监管规则,以及《关于中国风险导向的偿付能力体系过渡期有关事项的通知》(简称《通知》),决定自文发之日起,进入偿二代过渡期,保险公司自20151季度起,编报偿二代下的偿付能力报告。保监会设置了灵活、富有弹性的过渡期,将根据过渡期试运行情况,确定新旧体系的全面切换时间。这标志着我国以风险为导向、具有自主知识产权、国际可比的新偿付能力监管制度体系基本建成,保险业偿付能力监管迈入了新的历史阶段。

详情请见:

http://www.circ.gov.cn/web/site0/tab5207/info3952076.htm

3)保监会积极稳妥推进商业车险条款费率管理制度改革(2015.2.3

摘要:为贯彻十八届三中全会精神,落实国务院《关于加快发展现代保险服务业的若干意见》要求,进一步保护投保人、被保险人合法权益,增强财产保险行业可持续发展能力,保监会近日印发《关于深化商业车险条款费率管理制度改革的意见》(以下简称《意见》),积极稳妥推进商业车险条款费率管理制度改革。《意见》立足于我国现阶段商业车险条款费率管理的实际,吸收2010年以来商业车险改革试点的经验,参考国际上保险业发达国家车险费率市场化改革的路径,明确商业车险条款费率管理制度改革的指导思想、基本原则和主要目标,提出建立健全商业车险条款费率形成机制的意见,强调加强和改善商业车险条款费率监管的具体举措,是推进商业车险条款费率管理制度改革的顶层制度设计和方向性指导文件,是保监会贯彻党中央国务院决策部署、全面深化改革的重要举措。

详情请见:

http://www.circ.gov.cn/web/site0/tab5207/info3949870.htm

4)我国食品安全责任保险制度初步建立(2015.2.2

摘要:近日,中国保监会会同国务院食品安全委员会办公室、国家食品药品监管总局联合印发《关于开展食品安全责任保险试点工作的指导意见》(以下简称《指导意见》),此举标志着我国食品安全责任保险制度初步建立,相关试点工作将在全国范围内启动。《指导意见》将食品安全责任保险试点情况纳入地方食品安全工作考核评价体系,企业投保情况也将纳入企业信用记录和分级分类管理指标体系,已投保企业可优先获得行业专项支持和政府扶持政策。

详情请见:

http://www.circ.gov.cn/web/site0/tab5207/info3949623.htm

5)保监会等五部门形成合力支持小微企业发展(2015.1.25

摘要:近日,中国保监会会同工业和信息化部、商务部、人民银行、银监会等部门联合印发了《大力发展信用保证保险 服务和支持小微企业的指导意见》(以下简称《指导意见》)。《指导意见》强调发挥政府推动作用,形成政策合力,给予从事小微企业经营和服务的保险公司在银保合作、征信系统开放等方面的政策支持。《指导意见》强调了信用保证保险融资增信功能,明确了服务小微企业的重点领域、经营模式、产品创新、增值服务等方面内容。《指导意见》有以下亮点:一是政策引导创新经营模式;二是加强银保合作;三是试点放开央行征信系统;四是鼓励创新资金运用渠道。

详情请见:

http://www.circ.gov.cn/web/site0/tab5207/info3948854.htm

 

 

5英国金融行为管理局网站动态http://www.fca.org.uk/

1PS15/4: Retirement Reforms and the Guidance Guarantee2015.2.27

摘要:In this Policy Statement we publish the final rules in respect of retirement risk warnings. The rules have been made without consultation, in reliance on section 138L of the Financial Services and Markets Act 2000.The new rules described in this Policy Statement will come into force on 6 April 2015. Firms operating personal pensions, stakeholder pensions, selling pension decumulation products or facilitating the access of pension savings on an execution-only basis must make any changes necessary to comply with the rules before they come into force. We plan to consult in summer 2015 on whether to retain, modify or add to these rules, as part of a wider consultation on the rules around consumers’ interaction with providers as they approach retirement.

详情请见:

http://www.fca.org.uk/news/ps15-04-retirement-reforms-and-the-guidance-guarantee

附件:

http://www.fca.org.uk/static/documents/policy-statements/ps15-04.pdf

2CP15/6: Consumer Credit - Proposed Changes to Our Rules and Guidance2015.2.24

摘要:This paper outlines our proposed policy changes to our consumer credit regime. We have been responsible for regulating the consumer credit market since April 2014. We are now consulting on changes we intend to implement designed to address potential areas of harm to consumers that we have observed in the market. Other changes include clarifications and amendments to ensure our rules clearly reflect our policy intention, or deal with issues raised by firms and other stakeholders.

详情请见:

http://www.fca.org.uk/news/cp15-06-consumer-credit-consultation-paper

附件:

http://www.fca.org.uk/static/fca/documents/cp-15-06.pdf

3CP15/5: Approach to Non-executive Directors in Banking and Solvency II Firms & Application of the Presumption of Responsibility to Senior Managers in Banking Firms2015.2.23

摘要:This paper sets out the our revised approach to independent non-executive directors (NEDs) in UK banks, building societies, credit unions and PRA-designated investment firms (relevant authorised persons) and Solvency II firms. The revised approach takes into account feedback to the consultation on Strengthening accountability in banking: a new regulatory framework for individuals, published in July 2014, which expressed concern about the proposed approach to NEDs under the SMR as set out in that CP.

详情请见:

http://www.fca.org.uk/news/cp15-05-approach-to-neds

附件:

http://www.fca.org.uk/static/documents/consultation-papers/cp15-05.pdf

4CP15/4: Whistleblowing in Deposit-takers, PRA-designated Investment Firms and Insurers2015.2.23

摘要:We propose, with the PRA, a package of measures to formalise firms’ whistleblowing procedures. With the PRA we have, in response, proposed a package of measures to formalise firms’ whistleblowing procedures. These proposals aim to move towards a more consistent approach, building on existing good practice in firms. They aim to ensure that all employees are encouraged to blow the whistle where they suspect misconduct, confident that their concerns will be considered and that there will be no personal repercussions.

详情请见:

http://www.fca.org.uk/news/cp15-04-whistleblowing-in-deposit-takers-pra-designated-investment-firms-and-insurers

附件:

http://www.fca.org.uk/static/documents/consultation-papers/cp15-04.pdf

5CP15/3 Buy-to-let Mortgages: Implementing the Mortgage Credit Directive Order 20152015.2.5

摘要:This paper outlines our proposed approach to implementing a legislative framework for ‘consumer buy-to-let’ (CBTL) mortgages. The government’s framework and supporting legislation does not give the FCA general rule-making powers, such as the ability to modify the legislative conduct standards which firms will be expected to follow. It does, however, give us powers to register, supervise and - where appropriate – take action against firms carrying out CBTL activity. This consultation paper outlines our proposed approach to implementing the framework, including our proposed Handbook changes to allow us to use those powers when necessary.

详情请见:

http://www.fca.org.uk/news/cp15-03-buy-to-let-mortgages

附件:

http://www.fca.org.uk/static/documents/consultation-papers/cp15-03.pdf

6PS15/3: Final Rules for Independent Governance Committees, Including Feedback on CP14/162015.2.4

摘要:We have published rules that require the providers of workplace personal pension schemes to set up and maintain independent governance committees (IGCs). The rules come into force on 6 April 2015. IGCs will have a duty to act solely in the interests of scheme members and will operate independently of the provider. They will assess and, where necessary, challenge providers on the value for money of workplace personal pension schemes. IGCs will be new governance bodies and we will want to ensure that they are operating effectively. We intend to conduct a review of the effectiveness of IGCs in 2017.

详情请见:

http://www.fca.org.uk/news/ps15-03-final-rules-for-independent-governance-committees

附件:

http://www.fca.org.uk/static/documents/policy-statements/ps15-03.pdf

7PSR CP15/1: PSR Competition Concurrency Guidance2015.1.26

摘要:We are consulting on procedural guidance relating to our competition powers. This consultation is relevant to payment system operators, banks, building societies and other payment service providers (PSPs), infrastructure providers, service-users of UK payment systems, trade bodies, consumer groups and other parties interested in UK payment systems. We have designed our procedures with the aim of using our competition powers effectively and efficiently. This should benefit those who use, or are likely to use, the services provided by payment systems through detecting, enforcing against and deterring anti-competitive behaviour in relation to participation in payment systems.

详情请见:

http://www.fca.org.uk/news/psr/psr-cp15-01-psr-competition-concurrency-guidance

附件:

http://www.fca.org.uk/static/documents/psr/psr-cp15-01.pdf

8FCA Introduces Additional Protection for Consumers Ahead of Pension Freedoms2015.1.26

摘要:The Financial Conduct Authority (FCA) has today written to the Chief Executive Officers (CEOs) of pension providers to outline plans to introduce additional protection for those accessing their defined contribution (DC) pension pot from April. Under the new additional protection rules firms will be required to ask consumers about key aspects of the circumstances that relate to the decision they are making about their pension pot. These include issues such as health and lifestyle choices or marital status. This will come into force from April. Providers will be required to give relevant risk warnings, such as warning of the tax implications of their decisions, in response to answers from consumers. Firms must also further highlight the availability of the Government’s new Pension Wise scheme or regulated advice.

详情请见:

http://www.fca.org.uk/news/fca-introduces-additional-protection-for-consumers-ahead-of-pension-freedoms

9CP15/2: Financial Services Compensation Scheme – Management Expenses Levy Limit 2015/162015.1.19

摘要:The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) are consulting on the Management Expenses Levy Limit (MELL) for the Financial Services Compensation Scheme (FSCS) for 2015/16. The efficient and effective functioning of the FSCS helps the FCA meet its consumer protection objective as well as supports the PRA in meeting its general objective to promote the safety and soundness of PRA-authorised firms.

详情请见:

http://www.fca.org.uk/news/cp15-02-fscs-management-expenses-levy-limit-2015-16

附件:

http://www.fca.org.uk/static/documents/consultation-papers/cp15-02.pdf

 

 

6国际清算银行网站动态http://www.bis.org

1Quantitative Disclosure Standards for Central Counterparties Issued by CPMI and IOSCO2015.2.26

摘要:The Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO) have today published Public quantitative disclosure standards for central counterparties. To help ensure that the risks of using central counterparties (CCPs) are properly understood, CCPs need to make relevant information publicly available, as stated in the CPSS-IOSCO Principles for financial market infrastructures, published in April 2012. The CPSS and IOSCO published a Disclosure framework in December 2012 to improve the overall transparency of financial market infrastructures. That framework primarily covers qualitative data that need relatively infrequent updating (for example, when there is a change to a CCP's risk management framework). To complement that disclosure framework, the document now being published sets out the quantitative data that a CCP should disclose more frequently.

详情请见:

http://www.bis.org/press/p150226.htm

2Monitoring the Implementation of Standards2015.2.26

摘要:The Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO) are monitoring the implementation of the Principles for financial market infrastructures (the PFMI), issued in April 2012. The PFMI are international standards for payment, clearing and settlement systems, including central counterparties, and trade repositories. They are designed to help ensure safety, efficiency and resilience of the infrastructure supporting global financial markets. To that end, a full, timely and consistent implementation of the PFMI is fundamental.

详情请见:

http://www.bis.org/cpmi/info_mios.htm

3Developments in Credit Risk Management Across Sectors: Current Practices and Recommendations - Consultative Document2015.2.5

摘要:Significant market and regulatory developments since the 2008 financial crisis have led to changes in how banks, insurers and securities firms measure credit risk. The Joint Forum surveyed supervisors and firms in the banking, securities and insurance sectors globally in order to understand how credit risk supervision and management have changed. Fifteen supervisors and 23 firms from Europe, North America and Asia responded to the survey. This survey provides insight into the state of credit risk management and the implications for regulatory and supervisory frameworks. It updates the Joint Forum's 2006 review: Regulatory and market differences: issues and observations. Based on its analysis of the responses and subsequent discussions with firms, the Joint Forum makes the following recommendations for consideration by supervisors.

详情请见:

http://www.bis.org/bcbs/publ/joint37.htm

附件:

http://www.bis.org/bcbs/publ/joint37.pdf

4Revised Pillar 3 Requirements Issued by the Basel Committee2015.1.28

摘要:The Basel Committee on Banking Supervision has today issued the final standard for the revised Pillar 3 disclosure requirements. The revised disclosure requirements will enable market participants to compare banks' disclosures of risk-weighted assets. The revisions focus on improving the transparency of the internal model-based approaches that banks use to calculate minimum regulatory capital requirements. The revised requirements will take effect from end-2016. They supersede the existing Pillar 3 disclosure requirements first issued as part of the Basel II framework in 2004 and the Basel 2.5 revisions and enhancements introduced in 2009.

详情请见:

http://www.bis.org/press/p150128.htm

5Second Progress Report on Banks' Adoption of Risk Data Aggregation Principles Issued by the Basel Committee2015.1.23

摘要:The Basel Committee on Banking Supervision today issued a second progress report on banks' adoption of the Committee's Principles for effective risk data aggregation and risk reporting. Published in 2013, the Principles aim to strengthen risk data aggregation and risk reporting at banks to improve their risk management practices and decision-making processes. Firms designated as global systemically important banks (G-SIBs) are required to implement the Principles in full by 2016. The Principles apply initially to all systemically important banks and the Committee will continue to monitor G-SIBs' progress towards meeting the 2016 deadline. In addition, the Committee recommends that national supervisors apply the Principles to institutions identified as domestic systemically important banks three years after their designation as such. The Basel Committee believes that the Principles can be applied to a wider range of banks in a way that reflects their size, nature and complexity.

详情请见:

http://www.bis.org/press/p150123.htm

 

 

7国际证监会组织网站动态http://www.iosco.org

1IOSCO Reviews Implementation of Financial Benchmark Principles2015.2.25

摘要:The International Organization of Securities Commission (IOSCO) today published the Review of the Implementation of IOSCO's Principles for Financial Benchmarks. The report sets out the findings of IOSCO´s review of the implementation of its Principles for Financial Benchmarks (Principles) by a sample of administrators of financial benchmarks across a range of geographical areas and asset classes. It was prepared by a Review Team, constituting members of the IOSCO Board-level Task Force on Financial Market Benchmarks.

详情请见:

http://www.iosco.org/news/pdf/IOSCONEWS368.pdf

2IOSCO Requests Public Comment on Continuing Implementation of PRA Principles2015.2.12

摘要:The International Organization of Securities Commissions (IOSCO) is requesting comment on the continuing implementation of the IOSCO Principles for Oil Price Reporting Agencies (PRA Principles).IOSCO recognized that its 2014 report’s conclusions were preliminary due to the fact that the PRAs had devoted their primary efforts to aligning their procedures with the PRA Principles. The PRAs were engaged in a continuing process of implementation and change in their policies and practices, so many important policies had not yet been tested by stakeholders. Accordingly, IOSCO, in collaboration with the IEA, IEF, and OPEC undertook to carry out further examination and monitoring in this regard (including outreach to stakeholders) and report again on implementation efforts in 2015.

详情请见:

http://www.iosco.org/news/pdf/IOSCONEWS365.pdf

3IOSCO Publishes Final Report on Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives2015.1.28

摘要:The International Organization of Securities Commissions today published the final report Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives, which sets out nine standards aimed at mitigating the risks in the non-centrally cleared OTC derivatives markets. This set of risk mitigation standards, which are developed in consultation with the BCBS and the Committee on Payments and Market Infrastructures, will further strengthen the non-centrally cleared OTC derivatives market. The standards encourage the adoption of sound risk mitigation techniques to promote legal certainty over the terms of the non-centrally cleared OTC derivatives transactions, to foster effective management of counterparty credit risk and to facilitate timely resolution of disputes.

详情请见:

http://www.iosco.org/news/pdf/IOSCONEWS361.pdf

 

 

 

 

 

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