Core Principles : Cross-sectoral Comparison

In March 2000, the Joint Forum set up a Working Group to compare the core principles issued by the Basel Committee on Banking Supervision (Basel Committee), the International Association of Insurance Supervisors (IAIS), and the International Organization of Securities Commissions (IOSCO), identifying common principles and understanding differences where they arise. This report is based on the findings of the Group.

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Year of publication:	2001-11-01
Institutions:	Basel Committee on Banking Supervision ; International Organization of Securities Commissions ; International Association of Insurance Supervisors
Subject:	Versicherungswirtschaft \| Aufsicht

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1. Executive Summary
2. Introduction
(a) Mandate
(b) Approach
3. Background to the Core Principles
4. Subsequent Evolution
5. Basis of the Comparison
6. Relevant Characteristics of the Three Sectors
(a) Banking
(b) Insurance
(c) Securities
7. Analysis of Common Principles and Differences based on the Matrix
(a) Pre-conditions
(b) The Supervisory System
(c) The Supervised Entity
(d) Ongoing Supervision
(e) Prudential Standards
(f) Markets and Customers
8. Observations and Conclusions
9. Options for Further Work
A. Content of existing core principles
B. Cross-sector interface
C. Presentation
10. Future Evolution
Appendix A: Membership of the Working Group
Appendix B: Comparison Chart

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