LEADER 06237oam 22011894 450 001 9910788332403321 005 20230721045726.0 010 $a1-4623-5778-4 010 $a1-4527-3291-4 010 $a1-4518-7282-8 010 $a9786612843495 010 $a1-282-84349-4 035 $a(CKB)3170000000055293 035 $a(EBL)1608349 035 $a(SSID)ssj0000941197 035 $a(PQKBManifestationID)11967068 035 $a(PQKBTitleCode)TC0000941197 035 $a(PQKBWorkID)10955976 035 $a(PQKB)10385079 035 $a(OCoLC)539117893 035 $a(MiAaPQ)EBC1608349 035 $a(IMF)WPIEE2009135 035 $a(EXLCZ)993170000000055293 100 $a20020129d2009 uf 0 101 0 $aeng 135 $aurcn||||||||| 181 $ctxt 182 $cc 183 $acr 200 10$aGovernance Practices At Financial Regulatory and Supervisory Agencies /$fAlicia Novoa, Steven Seelig 210 1$aWashington, D.C. :$cInternational Monetary Fund,$d2009. 215 $a1 online resource (32 p.) 225 1 $aIMF Working Papers 300 $aDescription based upon print version of record. 311 $a1-4519-1711-2 320 $aIncludes bibliographical references. 327 $aContents; 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 327 $aVI. 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 327 $a7. 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 330 3 $aThis paper summarizes the results of a survey of financial supervisory agencies in IMF member countries conducted in 2007. Responses were received from 140 financial sector supervisors in 103 countries. A majority of these are separate stand-alone agencies, though, a majority of bank supervisors are part of a central bank. The survey asked respondents about their governance structure and practices, as well as practices and policies related to public transparency and accountability. Most agencies reported having operational independence. Bank supervisors were unique in viewing financial stability as part of their mandate. 410 0$aIMF Working Papers; Working Paper ;$vNo. 2009/135 606 $aFinancial institutions, International$xManagement 606 $aCorporate governance 606 $aBanks and Banking$2imf 606 $aInsurance$2imf 606 $aInvestments: General$2imf 606 $aIndustries: Financial Services$2imf 606 $aBusiness and Financial$2imf 606 $aGeneral Financial Markets: Government Policy and Regulation$2imf 606 $aFinancial Institutions and Services: General$2imf 606 $aBanks$2imf 606 $aDepository Institutions$2imf 606 $aMicro Finance Institutions$2imf 606 $aMortgages$2imf 606 $aGeneral Financial Markets: General (includes Measurement and Data)$2imf 606 $aInsurance Companies$2imf 606 $aActuarial Studies$2imf 606 $aFinancial services law & regulation$2imf 606 $aBanking$2imf 606 $aInvestment & securities$2imf 606 $aInsurance & actuarial studies$2imf 606 $aFinancial sector$2imf 606 $aFinancial regulation and supervision$2imf 606 $aSecurities$2imf 606 $aFinancial services industry$2imf 606 $aLaw and legislation$2imf 606 $aBanks and banking$2imf 606 $aFinancial instruments$2imf 615 0$aFinancial institutions, International$xManagement. 615 0$aCorporate governance. 615 7$aBanks and Banking 615 7$aInsurance 615 7$aInvestments: General 615 7$aIndustries: Financial Services 615 7$aBusiness and Financial 615 7$aGeneral Financial Markets: Government Policy and Regulation 615 7$aFinancial Institutions and Services: General 615 7$aBanks 615 7$aDepository Institutions 615 7$aMicro Finance Institutions 615 7$aMortgages 615 7$aGeneral Financial Markets: General (includes Measurement and Data) 615 7$aInsurance Companies 615 7$aActuarial Studies 615 7$aFinancial services law & regulation 615 7$aBanking 615 7$aInvestment & securities 615 7$aInsurance & actuarial studies 615 7$aFinancial sector 615 7$aFinancial regulation and supervision 615 7$aSecurities 615 7$aFinancial services industry 615 7$aLaw and legislation 615 7$aBanks and banking 615 7$aFinancial instruments 700 $aNovoa$b Alicia$01472665 701 $aSeelig$b Steven$0114786 801 0$bDcWaIMF 906 $aBOOK 912 $a9910788332403321 996 $aGovernance Practices At Financial Regulatory and Supervisory Agencies$93685529 997 $aUNINA