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  • BIS Document Topics
    == BCBS Publication Topics == The following is the list of [https://www.bis.org/bcbs/publications.htm BIS document classification] by topics:
    2 KB (198 words) - 16:07, 11 February 2024
  • Internal Controls
    ...n with the objective of ensuring [[Compliance]] with laws and [[Regulatory Compliance | regulations]] as well as internal rules and plans. All the means, tangib ...e risk domain being addressed. Some general principles are listed here<ref>BCBS, Principles for enhancing corporate governance</ref>
    2 KB (219 words) - 16:51, 11 November 2021
  • Compliance Risk
    ...pplicable to its business activities.<ref>[[BCBS 113]], Compliance and the compliance function in banks</ref> * [[Regulatory Compliance]]
    534 bytes (68 words) - 14:35, 4 October 2021
  • Goodhart’s Law
    ...risk metrics or related information tools that aim to succinctly establish compliance with the policy. After implementation, it may be observed that the policy d ...s may lose their predictive power when relied on for regulatory purposes [[BCBS 258]]
    2 KB (289 words) - 11:08, 4 March 2024
  • Governance, Risk and Compliance
    '''Governance, Risk and Compliance '''. GRC is the umbrella term covering an organization's approach across th * [[Compliance]] is the respect for the internal and external compulsory rules that an org
    869 bytes (111 words) - 14:55, 4 October 2021
  • Business Continuity Glossary
    A [[Business Continuity]] Glossary compiled from a variety of sources <ref>BCBS, High-level principles for business continuity, August 2006</ref>, <ref>Bus | [[Governance, Risk and Compliance ]]
    90 KB (12,017 words) - 15:01, 10 August 2021
  • Risk Committee
    ...for overseeing senior management’s implementation of that strategy. <ref>BCBS, Principles for enhancing ...ital and liquidity management, as well as for credit, market, operational, compliance, reputational and other risks of the institution.
    949 bytes (124 words) - 14:39, 24 November 2020
  • BCBS 103
    ...asel Committee on Banking Supervision]] on October 2003 in the [[:Category:BCBS Accounting and Auditing | Accounting and Auditing]] category. ''The compliance function in banks''.
    3 KB (419 words) - 14:22, 4 October 2021
  • BCBS 107
    ...[[Basel Committee on Banking Supervision]] on June 2004 in the [[:Category:BCBS Supervision | Supervision]] category. ...entation process. The Committee expects national supervisors will focus on compliance with the minimum requirements as a means of ensuring the overall integrity
    20 KB (3,034 words) - 11:39, 26 March 2021
  • BCBS 109
    ...[[Basel Committee on Banking Supervision]] on July 2004 in the [[:Category:BCBS Supervision | Supervision]] category. ...al sector assessments will not be conducted on the basis of adoption of or compliance with the revised Framework if a country has not chosen to implement it. Rat
    5 KB (748 words) - 11:39, 26 March 2021
  • BCBS 113
    ...[Basel Committee on Banking Supervision]] on April 2005 in the [[:Category:BCBS Accounting and Auditing | Accounting and Auditing]] category. ''Compliance and the compliance function in banks''.
    3 KB (376 words) - 14:34, 4 October 2021
  • BCBS 118
    ...sel Committee on Banking Supervision]] on November 2005 in the [[:Category:BCBS Basel II | Basel II]] category. ...entation process. The Committee expects national supervisors will focus on compliance with the minimum requirements as a means of ensuring the overall integrity
    19 KB (2,931 words) - 12:29, 26 March 2021
  • BCBS 121
    ...sel Committee on Banking Supervision]] on November 2005 in the [[:Category:BCBS Supervision | Supervision]] category. ...apital adequacy measures. The Committee recognises that responsibility for compliance with accounting standards rests with a bank's senior management and board o
    7 KB (1,077 words) - 11:43, 26 March 2021
  • BCBS 123
    ...[Basel Committee on Banking Supervision]] on April 2006 in the [[:Category:BCBS Core Principles | Core Principles]] category. <p>Experience has shown that self-assessments of countries' compliance with the Core Principles have proven helpful for the authorities, in partic
    3 KB (402 words) - 11:43, 26 March 2021
  • BCBS 124
    ...[Basel Committee on Banking Supervision]] on April 2006 in the [[:Category:BCBS Core Principles | Core Principles]] category. ...need for both supervisors and assessors to use their judgment in assessing compliance. This document is the revised version of the 1999 Core Principles Methodolo
    2 KB (353 words) - 11:43, 26 March 2021
  • BCBS 129
    ...asel Committee on Banking Supervision]] on October 2006 in the [[:Category:BCBS Core Principles | Core Principles]] category. <p>Experience has shown that self-assessments of countries' compliance with the Core Principles have proven helpful for the authorities, in partic
    3 KB (401 words) - 11:43, 26 March 2021
  • BCBS 130
    ...asel Committee on Banking Supervision]] on October 2006 in the [[:Category:BCBS Core Principles | Core Principles]] category. ...need for both supervisors and assessors to use their judgment in assessing compliance. Such an assessment should identify weaknesses in the existing system of su
    3 KB (362 words) - 11:43, 26 March 2021
  • BCBS 142
    ...Basel Committee on Banking Supervision]] on August 2008 in the [[:Category:BCBS Cross-Border Issues | Cross-Border Issues]] category. ''Implementation of the compliance principles''.
    3 KB (438 words) - 14:37, 4 October 2021
  • BCBS 166
    ...asel Committee on Banking Supervision]] on January 2010 in the [[:Category:BCBS Supervision | Supervision]] category. ...in reviewing individual firms' compensation practices and assessing their compliance with the FSB Principles for Sound Compensation Practices and their implemen
    2 KB (243 words) - 11:44, 26 March 2021
  • BCBS 182
    ...sel Committee on Banking Supervision]] on November 2010 in the [[:Category:BCBS Core Principles | Core Principles]] category. ...iples for Effective Deposit Insurance Systems - A proposed methodology for compliance assessment - consultative document''.
    2 KB (305 words) - 11:44, 26 March 2021
  • BCBS 192
    ...sel Committee on Banking Supervision]] on November 2010 in the [[:Category:BCBS Core Principles | Core Principles]] category. ''Core Principles for Effective Deposit Insurance Systems - A methodology for compliance assessment - final document''.
    2 KB (324 words) - 11:44, 26 March 2021
  • BCBS 213
    ...sel Committee on Banking Supervision]] on December 2011 in the [[:Category:BCBS Core Principles | Core Principles]] category. ...he importance of good corporate governance and risk management, as well as compliance with supervisory standards.</p>
    6 KB (808 words) - 11:44, 26 March 2021
  • BCBS 216
    ...[Basel Committee on Banking Supervision]] on April 2012 in the [[:Category:BCBS Implementation | Implementation]] category. ...vel 2 review programme, which utilises a peer review process to assess the compliance of individual jurisdiction's domestic regulations with the international mi
    3 KB (447 words) - 11:44, 26 March 2021
  • BCBS 220
    ...[[Basel Committee on Banking Supervision]] on June 2012 in the [[:Category:BCBS Implementation | Implementation]] category. * Keywords: [[Banking Book]], [[RWA]], [[Heatmaps]], [[Compliance]], [[Trading Book]]
    3 KB (360 words) - 11:44, 26 March 2021
  • BCBS 230
    ...el Committee on Banking Supervision]] on September 2012 in the [[:Category:BCBS Macroprudential | Macroprudential]] category. ...he importance of good corporate governance and risk management, as well as compliance with supervisory standards.</p>
    5 KB (778 words) - 11:55, 26 March 2021
  • BCBS 247
    ...[Basel Committee on Banking Supervision]] on April 2013 in the [[:Category:BCBS Implementation | Implementation]] category. * Keywords: [[Compliance]], [[Level 2 Assessments]]
    2 KB (327 words) - 11:45, 26 March 2021
  • BCBS 252
    ...[[Basel Committee on Banking Supervision]] on June 2013 in the [[:Category:BCBS Supervision | Supervision]] category. ...exposure of banks to serious risks, especially reputational, operational, compliance and concentration risks. Recent developments, including robust enforcement
    4 KB (553 words) - 11:45, 26 March 2021
  • BCBS 263
    ...asel Committee on Banking Supervision]] on October 2013 in the [[:Category:BCBS Basel II | Basel II]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (282 words) - 11:45, 26 March 2021
  • BCBS 275
    ...Banking Supervision]] on January 2014 in the [[:Category:BCBS Compliance | Compliance]] category. <p><strong>Note:</strong> The BCBS issued in February 2016 anew release of this document, enlarged with a new
    3 KB (417 words) - 11:45, 26 March 2021
  • BCBS 281
    ...[Basel Committee on Banking Supervision]] on April 2014 in the [[:Category:BCBS Basel II | Basel II]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (263 words) - 11:45, 26 March 2021
  • BCBS 290
    ...asel Committee on Banking Supervision]] on October 2014 in the [[:Category:BCBS Implementation | Implementation]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (340 words) - 11:45, 26 March 2021
  • BCBS 294
    ...asel Committee on Banking Supervision]] on October 2014 in the [[:Category:BCBS Governance | Governance]] category. ...e]], [[Board Structure]], [[Audit]], [[Risk Committee]], [[Governance]], [[Compliance]], [[Compensation]], [[Audit Committee]], [[Remuneration]]
    3 KB (441 words) - 13:45, 5 May 2021
  • BCBS 38
    ...[[Basel Committee on Banking Supervision]] on June 1998 in the [[:Category:BCBS Cross-Border Issues | Cross-Border Issues]] category. <p>As a general rule, the Year 2000 compliance of a bank's information systems is probably best evaluated by the superviso
    3 KB (493 words) - 11:46, 26 March 2021
  • BCBS 49 B
    ...[[Basel Committee on Banking Supervision]] on May 1999 in the [[:Category:BCBS Core Principles | Core Principles]] category. ...ion, there should be an assessment of the current situation of a country's compliance with the Principles. Such an assessment should identify weaknesses in the e
    3 KB (421 words) - 11:46, 26 March 2021
  • BCBS 61
    ...sel Committee on Banking Supervision]] on November 1999 in the [[:Category:BCBS Core Principles | Core Principles]] category. ...ssment process, the Basel Committee has developed a methodology for use in compliance assessments. This document The Core Principles Methodology is now being pub
    2 KB (314 words) - 11:46, 26 March 2021
  • BCBS 79
    ...[Basel Committee on Banking Supervision]] on March 2001 in the [[:Category:BCBS Supervision | Supervision]] category. ...the implementation of the Sound Practices paper and published a review of compliance with its Sound Practices in early 2000<sup style="font-size: 70%;">5</sup>.
    6 KB (861 words) - 11:46, 26 March 2021
  • BCBS 81
    ...[Basel Committee on Banking Supervision]] on April 2001 in the [[:Category:BCBS Core Principles | Core Principles]] category. ...ractical application of supervisory policies and procedures, assessment of compliance with the Core Principles, and the drawing up of an action plan to address i
    5 KB (707 words) - 11:46, 26 March 2021
  • BCBS 88
    ...[Basel Committee on Banking Supervision]] on March 2002 in the [[:Category:BCBS Supervision | Supervision]] category. ...d more formal actions that are binding on the bank, with penalties for non-compliance. Closure of the bank and revocation of the licence remain the ultimate sanc
    6 KB (896 words) - 11:46, 26 March 2021
  • BCBS 92
    ...Basel Committee on Banking Supervision]] on August 2002 in the [[:Category:BCBS Supervision | Supervision]] category. ...senior management in the areas of internal controls, risk measurement and compliance with laws and regulations. The importance of internal auditors independence
    6 KB (913 words) - 14:37, 4 October 2021
  • BCBS D299
    ...sel Committee on Banking Supervision]] on November 2014 in the [[:Category:BCBS Implementation | Implementation]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (274 words) - 11:47, 26 March 2021
  • BCBS D318
    ...[Basel Committee on Banking Supervision]] on April 2015 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (344 words) - 11:47, 26 March 2021
  • BCBS D328
    ...[[Basel Committee on Banking Supervision]] on July 2015 in the [[:Category:BCBS Governance | Governance]] category. ...ternal Audit]], [[Governance Effectiveness]], [[Governance]], [[Regulatory Compliance]], [[Compensation]], [[Risk Profile]], [[Risk Appetite Framework]], [[Super
    4 KB (533 words) - 14:54, 4 October 2021
  • BCBS D338
    ...asel Committee on Banking Supervision]] on October 2015 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (347 words) - 11:47, 26 March 2021
  • BCBS D343
    ...sel Committee on Banking Supervision]] on November 2015 in the [[:Category:BCBS Credit Risk | Credit Risk]] category. <p>Compliance with the expanded set of STC criteria provides additional confidence in the
    4 KB (528 words) - 11:47, 26 March 2021
  • BCBS D348
    ...sel Committee on Banking Supervision]] on December 2015 in the [[:Category:BCBS Macroprudential | Macroprudential]] category. <li> <p>Banks' compliance with the Principles should be subject to an independent evaluation in early
    3 KB (376 words) - 11:47, 26 March 2021
  • BCBS D366
    ...[Basel Committee on Banking Supervision]] on April 2016 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (345 words) - 11:48, 26 March 2021
  • BCBS D374
    ...[[Basel Committee on Banking Supervision]] on July 2016 in the [[:Category:BCBS Credit Risk | Credit Risk]] category. <p>Compliance with the expanded set of STC criteria should provide additional confidence
    3 KB (464 words) - 11:48, 26 March 2021
  • BCBS D377
    ...Basel Committee on Banking Supervision]] on August 2016 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (295 words) - 11:48, 26 March 2021
  • BCBS D388
    ...asel Committee on Banking Supervision]] on October 2016 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (342 words) - 11:48, 26 March 2021
  • BCBS D399
    ...[Basel Committee on Banking Supervision]] on March 2017 in the [[:Category:BCBS Governance | Governance]] category. ...de, most G-SIBs have not fully implemented the Principles and the level of compliance with the Principles is unsatisfactory.</p>
    4 KB (527 words) - 11:48, 26 March 2021
  • BCBS D404
    ...[Basel Committee on Banking Supervision]] on April 2017 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[RCAP]], [[Compliance]], [[Regulatory Consistency Assessment Programme]], [[Level 2 Assessments]]
    2 KB (350 words) - 11:48, 26 March 2021
  • BCBS D415
    ...Basel Committee on Banking Supervision]] on August 2017 in the [[:Category:BCBS Operational Risk | Operational Risk]] category. <li>the overarching need to ensure safety and soundness and high compliance standards without inhibiting beneficial innovation in the banking sector;</
    4 KB (554 words) - 11:48, 26 March 2021
  • BCBS D418
    ...asel Committee on Banking Supervision]] on October 2017 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[Compliance]], [[RCAP]]
    2 KB (346 words) - 11:48, 26 March 2021
  • BCBS D431
    ...sel Committee on Banking Supervision]] on February 2018 in the [[:Category:BCBS Operational Risk | Operational Risk]] category. ...-left: 30px;">the overarching need to ensure safety and soundness and high compliance standards without inhibiting beneficial innovation in the banking sector</l
    4 KB (542 words) - 11:48, 26 March 2021
  • BCBS D440
    ...[Basel Committee on Banking Supervision]] on April 2018 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[Compliance]], [[RCAP]]
    2 KB (362 words) - 11:49, 26 March 2021
  • BCBS D443
    ...[[Basel Committee on Banking Supervision]] on June 2018 in the [[:Category:BCBS Governance | Governance]] category. ...erdependence of IT improvement projects. As a result, the expected date of compliance has slipped back for many banks.</p>
    3 KB (474 words) - 11:49, 26 March 2021
  • BCBS D452
    ...asel Committee on Banking Supervision]] on October 2018 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[Compliance]], [[RCAP]]
    2 KB (337 words) - 11:49, 26 March 2021
  • BCBS D454
    ...sel Committee on Banking Supervision]] on December 2018 in the [[:Category:BCBS Operational Risk | Operational Risk]] category. ...t emphasis is placed on resilience in light of current threats rather than compliance to a standard. </span></p>
    5 KB (741 words) - 11:49, 26 March 2021
  • BCBS D464
    ...[[Basel Committee on Banking Supervision]] on May 2019 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[Compliance]], [[RCAP]]
    2 KB (340 words) - 11:49, 26 March 2021
  • BCBS D478
    ...asel Committee on Banking Supervision]] on October 2019 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[Compliance]], [[RCAP]]
    2 KB (339 words) - 11:49, 26 March 2021
  • BCBS D506
    ...[[Basel Committee on Banking Supervision]] on July 2020 in the [[:Category:BCBS Uncategorized | Uncategorized]] category. * Keywords: [[Compliance]], [[RCAP]]
    2 KB (351 words) - 11:49, 26 March 2021
  • BCBS JOINT12
    ...sel Committee on Banking Supervision]] on February 2005 in the [[:Category:BCBS Operational Risk | Operational Risk]] category. ...n="justify">Outsourcing has the potential to transfer risk, management and compliance to third parties who may not be regulated, and who may operate offshore. In
    7 KB (984 words) - 11:50, 26 March 2021
  • BCBS JOINT20
    ...[[Basel Committee on Banking Supervision]] on July 2008 in the [[:Category:BCBS Risk Management | Risk Management]] category. ...the broadest scope of penalties. However, supervisors also oversee firms' compliance with suitability standards through their examination and supervisory proces
    11 KB (1,613 words) - 11:50, 26 March 2021
  • BCBS JOINT9
    ...Basel Committee on Banking Supervision]] on August 2004 in the [[:Category:BCBS Operational Risk | Operational Risk]] category. ...n="justify">Outsourcing has the potential to transfer risk, management and compliance to third parties who may not be regulated, and who may operate offshore.</p
    7 KB (1,014 words) - 11:50, 26 March 2021
  • BCBS NL4
    ...asel Committee on Banking Supervision]] on January 2005 in the [[:Category:BCBS Credit Risk | Credit Risk]] category. ...ntinuing basis. However, it should be noted that supervisors will focus on compliance with the minimum requirements as a means of ensuring the overall integrity
    3 KB (538 words) - 11:50, 26 March 2021
  • Compliance Principles
    ...ision and highlights a number of principles towards effective [[Regulatory Compliance]] ...ee of the board should assess the extent to which the bank is managing its compliance risk effectively.
    3 KB (362 words) - 14:49, 4 October 2021
  • Compliance Function
    ...es staff (employees) of an organization that are carrying out [[Regulatory Compliance]]. ...particular organisational structure and naming conventions may vary<ref>[[BCBS 113]]></ref>
    5 KB (647 words) - 16:06, 4 October 2021
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