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Record Nr. |
UNINA9910812020003321 |
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Autore |
Novoa Alicia |
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Titolo |
Governance Practices At Financial Regulatory and Supervisory Agencies / / Alicia Novoa, Steven Seelig |
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Pubbl/distr/stampa |
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Washington, D.C. : , : International Monetary Fund, , 2009 |
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ISBN |
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1-4623-5778-4 |
1-4527-3291-4 |
1-4518-7282-8 |
9786612843495 |
1-282-84349-4 |
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Edizione |
[1st ed.] |
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Descrizione fisica |
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1 online resource (32 p.) |
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Collana |
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Altri autori (Persone) |
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Disciplina |
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Soggetti |
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Financial institutions, International - Management |
Corporate governance |
Banks and Banking |
Insurance |
Investments: General |
Industries: Financial Services |
Business and Financial |
General Financial Markets: Government Policy and Regulation |
Financial Institutions and Services: General |
Banks |
Depository Institutions |
Micro Finance Institutions |
Mortgages |
General Financial Markets: General (includes Measurement and Data) |
Insurance Companies |
Actuarial Studies |
Financial services law & regulation |
Banking |
Investment & securities |
Insurance & actuarial studies |
Financial sector |
Financial regulation and supervision |
Securities |
Financial services industry |
Law and legislation |
Banks and banking |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Note generali |
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Description based upon print version of record. |
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Nota di bibliografia |
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Includes bibliographical references. |
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Nota di contenuto |
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Contents; I. Introduction; Boxes; 1. The Survey in Numbers; II. Key Findings; III. The Responding Agencies; A. Demographics within the Government; Figures; 1. Location of Supervisors; B. Independence; 2. Location of Agencies by Type; IV. Agency Mandates; A. Mandates; 3. All Agencies-Number of Supervised Entities; B. Avoiding Overlap and Conflict Resolution; V. How are Financial Sector Supervisors Governed?; A. Structure of the Governing Body; B. Appointment of Members to Governing Bodies; C. Legal Protection for Supervisors; D. Termination of Governing Body Members |
VI. Resources and Agency Management A. Funding; 4. Legal Protection by Type of Institution; B. Budget Authority and Compensation; C. Code of Conduct; VII. Accountability and Transparency to Stakeholders; A. Accountability; Table; 1. Ability to Set Salary Level and Structure; B. Financial Statements; C. Rule making and Appeals of Agency Decisions; D. Independent Review; 5. Supervisors' Ability to Take Actions Pending Appeal; VIII. Agency Communication with the Public; A. Communications with the Public; 6. Periodic Internal Bench marking-Per Type of Institution |
7. Periodic External Bench marking-Per Type of Institution B. Regulatory Impact Analysis; C. Supervisory Sanctions; 8. Preparation of Regulatory Impact Assessments-Per Type of Institution; D. Confidentiality of Information; IX. Are There Differences Between Bank Supervisors that are in the Central Bank and those Outside?; Figure 9. Release of Sanction Decisions; X. Concluding Comments; Appendix; Participating Surveyed Regulatory and Supervisory Agencies |
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Sommario/riassunto |
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This paper summarizes the results of a survey of financial supervisory agencies in IMF member countries conducted in 2007. Responses were received from 140 financial sector supervisors in 103 countries. A majority of these are separate stand-alone agencies, though, a majority of bank supervisors are part of a central bank. The survey asked respondents about their governance structure and practices, as well as practices and policies related to public transparency and accountability. Most agencies reported having operational independence. Bank supervisors were unique in viewing financial stability as part of their mandate. |
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