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date: 28 January 2020

(p. ix) List of Abbreviations

(p. ix) List of Abbreviations

ABI

Association of British Insurers

ABSs

asset-backed securities

AIG

American International Group

APRA

Australian Prudential Regulation Authority

ASIC

Australian Securities and Investments Commission

ATSs

alternative trading systems

BaFin

Bundesaufsichtsamt für das Finanzwesen

BAV

Bundesaufsichtsamt für das Versicherungswesen

BCBS

Basel Committee on Banking Supervision

BEM

book-entry money

BHCA

Bank Holding Company Act

BIS

Bank for International Settlements

BoE

Bank of England

BRRD

Bank Recovery and Resolution Directive

BTSs

Binding Technical Standards

CAs

clearing agencies

CBRA

Conduct of Business Regulatory Agency

CCAR

Comprehensive Capital Analysis and Review

CCB

countercyclical capital buffer

CCP

central counterparty

CDOs

collateralized debt obligations

CDSs

credit default swaps

CEA

Commodity Exchange Act

CEBS

Committee of European Banking Supervisors

CEIOPS

Committee of European Insurance and Occupational Pensions Supervisors

CEPR

Centre for Economic Policy Research

CESR

Committee of European Securities Regulators

CFPB

Consumer Financial Protection Bureau

CFR

Code of Federal Regulations

CFTC

Commodity Futures Trading Commission

CJEU

Court of Justice of the European Union

COB

conduct of business

CoCos

contingent convertible instruments

CoPoD

conditional probabilities of distress

CPSS

Committee on Payment and Settlement Systems

CRAs

credit rating agencies

CRD

Capital Requirements Directive

chief risk officers

CRR

Capital Requirements Regulation

CRT

credit risk transfer

CSDs

central securities depositories

CVAR

cointegrated vector autoregression

DCM

Designated Contract Market

DCOs

Derivatives Clearing Organizations

DGI

data gap initiative

DoJ

Department of Justice

DSB

Dispute Settlement Body

DSIBs

domestic systemically important banks

DSM

Dispute Settlement Mechanism

EACH

European Association of CCP Clearing Houses

EBA

European Banking Authority

EBC

European Banking Committee

EBU

European Banking Union

ECB

European Central Bank

ECMH

efficient capital market hypothesis

ECtHR

European Court of Human Rights

EIOPA

European Insurance and Occupational Pensions Authority

EIOPC

European Insurance and Occupational Pensions Committee

EMIR

European Market Infrastructure Regulation

ESAs

European Supervisory Authorities

ESC

European Securities Committee

ESFS

European System of Financial Supervision

ESM

European Stability Mechanism

ESMA

European Securities and Markets Authority

ESRB

European Systemic Risk Board

ETFs

exchange-traded funds

EU

European Union

FAT

Financial Activities Tax

FATF

Financial Action Task Force

FCA

Financial Conduct Authority

FDIC

Federal Deposit Insurance Corporation

FFIEC

Federal Financial Institutions Examination Council

FINRA

Financial Industry Regulatory Authority

FMIs

financial market infrastructures

FPC

Financial Policy Committee

FSA

Financial Services Authority

FSAP

Financial Sector Assessment Program/Financial Services Action Plan

FSB

Financial Stability Board

FSC

Financial Stability Contribution

FSCS

Financial Services Compensation Scheme

FSF

Financial Stability Forum

FSMA 2000

Financial Services and Markets Act 2000

FSOC

Financial Stability Oversight Council

G20

Group of 20

General Agreement on Trade in Services

GATT

General Agreement on Tariffs and Trade

GFC

Global Financial Crisis

GFSR

Global Financial Stability Report

GSIBs

global systemically important banks

GSIFIs

global systemically important financial institutions

GSIIs

global systemically important insurers

HFT

high-frequency trading

HKMA

Hong Kong Markets Authority

IAIS

International Association of Insurance Supervisors

IASB

International Accounting Standards Board

ICAAP

internal capital adequacy assessment process

ICB

Independent Commission on Banking

ICG

individual capital guidance

IFRS

International Financial Reporting Standards

IMF

International Monetary Fund

IOSCO

International Organization of Securities Commissions

ISD

Investment Services Directive

ISDA

International Swaps and Derivatives Association

ITO

International Trade Organization

ITSs

Implementing Technical Standards

JPoD

joint probability of distress

KIID

Key Investor Information Document

LEI

legal entity identifier

LIBOR

London interbank offered rate

LSE

London Stock Exchange

LTV

loan-to-value requirements

MAD

Market Abuse Directive

MAR

Market Abuse Regulation

MBSs

mortgage-backed securities

MCR

Minimum Capital Requirement

MD

mandatory disclosure

MiFID

Market in Financial Instruments Directive

MiFIR

Market in Financial Instruments Regulation

MLG

multilevel governance

MMFs

Money Market Funds

MMOU

Multilateral Memorandum of Understanding

MOU

Memorandum of Understanding

MPE

multiple point of entry

MTFs

multilateral trading facilities

NAV

net asset value

NBBO

National Best Bid and Offer

NCBs

national central banks

NCUA

National Credit Union Administration

NFA

National Futures Association

NSAs

national supervisory authorities

NYSE

New York Stock Exchange

Office of the Comptroller of Currency

OECD

Organization for Economic Cooperation and Development

OFR

Office of Financial Research

OIO

Office of Insurance Oversight

OLA

Orderly Liquidation Authority

ONI

Office of National Insurance

ORSA

Own Risk Solvency Assessment

OSFI

Office of the Superintendent of Financial Institutions

OTC

over-the-counter

OTF

organized trading facility

OTS

Office of Thrift Supervision

PAIRS

probability and impact rating system

PFRA

Prudential Financial Regulatory Agency

PIF

Proactive Intervention Framework

PPI

personal protection insurance

PRA

Prudential Regulation Authority

PRIIPs

packaged retail and insurance-based investment products

PWG

President’s Working Group on Financial Markets

RDR

retail distribution review

RMs

regulated markets

ROSCs

Reports on the Observance of Standards and Codes

RRPs

resolution and recovery plans

RTSs

Regulatory Technical Standards

SBSEF

security-based swap execution facility

SCDOs

synthesized collateralized debt obligations

SCR

Solvency Capital Requirement

SEC

Securities and Exchange Commission

SEF

Swap Execution Facility

SEP

Supervisory Enhancement Programme

SIB

Securities and Investments Board

SIFs

significant influence functions

SIFIs

systemically important financial institutions

SOARS

supervisory oversight and response system

SPE

single point of entry

SPV

special purpose vehicle

SRB

Single Resolution Board

SREP

supervisory review and evaluation process

SRF

Single Resolution Fund

SRM

Single Resolution Mechanism

SROs

self-regulatory organizations

SRR

Special Resolution Regime

SSM

Single Supervisory Mechanism

TBT

‘too-big-to’

TCF

Treating Customers Fairly

TEU

Treaty on European Union

TFEU

Treaty on the Functioning of the European Union

TRs

trade repositories

Undertakings for Collective Investment in Transferable Securities

UK

United Kingdom

US

United States

VaR

value-at-risk

WTO

World Trade Organization

(p. xiv)