Guidance

Supervisory Statements (SS) and Statements of Policy (SoP) setting out PRA expectations and policy on a particular matter.

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SII Firms

SS1/14 – Mutuality and with-profits funds: a way forward

SII Firms

SS1/15 – Insurance general application

CRR Firms

SS1/16 – Written reports by external auditors to the PRA

CRR Firms

SS1/17 – Supervising international banks: the PRA’s approach to branch supervision – liquidity reporting

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SS1/19 – Non-binding PRA materials: The PRA’s approach after the UK’s withdrawal from the EU

SII Firms

SS1/20 – Solvency II: Prudent Person Principle

SII Firms // CRR Firms // Non-authorised persons

SS1/21 – Operational resilience: Impact tolerances for important business services

CRR Firms

SS1/23 – Model risk management principles for banks

CRR Firms

SS10/13 – Credit risk - standardised approach

SII Firms // CRR Firms

SS10/16 – Solvency II: Remuneration requirements

SII Firms // CRR Firms

SS10/18 – Securitisation: General requirements and capital framework

CRR Firms

SS11/13 – Internal Ratings Based (IRB) approaches

SII Firms

SS11/15 – Solvency II: regulatory reporting and limitations

SII Firms

SS11/16 – Solvency II: External audit of, and responsibilities of the governing body in relation to, the public disclosure requirement

SII Firms

SS12/15 – Solvency II: Lloyd's

SII Firms

SS12/16 – Solvency II: Changes to internal models used by UK insurance firms

CRR Firms

SS13/13 – Market risk

SII Firms

SS13/15 – Solvency II: surplus funds

CRR Firms // Non-CRR Firms

SS13/16 – Underwriting standards for buy-to-let mortgage contracts

CRR Firms

SS14/13 – Operational risk

SII Firms

SS14/15 – With-profits

Non-SII Firms

SS14/16 – Reporting instructions for non Solvency II firms except friendly societies

CRR Firms

SS15/13 – Groups

SII Firms

SS15/15 – Solvency II: approvals

SII Firms

SS15/16 – Solvency II: Monitoring model drift and standard formula SCR reporting for firms with an approved internal model

CRR Firms

SS16/13 – Large Exposures

SII Firms

SS16/15 – Solvency II: conditions governing business

CRR Firms

SS16/16 – The minimum requirement for own funds and eligible liabilities (MREL) – buffers and Threshold Conditions

CRR Firms

SS17/13 – Credit risk mitigation

SII Firms

SS17/15 – Solvency II: transitional measures on risk-free interest rates and technical provisions

SII Firms

SS17/16 – Solvency II: internal models – assessment, model change and the role of non-executive directors

CRR Firms // Non-CRR Firms

SS18/15 – Depositor protection

SII Firms

SS18/16 – Solvency II: longevity risk transfers

CRR Firms

SS19/13 – Resolution planning

CRR Firms

SS19/15 – Exercising certain functions under the Building Societies Act 1986

SII Firms

SS19/16 – Solvency II: ORSA

SII Firms

SS2/14 – Solvency II: recognition of deferred tax

SII Firms

SS2/15 – Solvency II: Own funds

CRR Firms

SS2/17 – Remuneration

SII Firms

SS2/18 – International insurers: the Prudential Regulation Authority’s approach to branch authorisation and supervision (Deleted)

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SS2/19 – PRA approach to interpreting reporting and disclosure requirements and regulatory transactions forms after the UK’s withdrawal from the EU

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SS2/21 – Outsourcing and third party risk management

Non-CRR Firms

SS2/23 – Supervising credit unions

CRR Firms

SS20/13 – Third country equivalence aspects of the credit risk provisions in the CRR, and recognised exchanges

CRR Firms

SS20/15 – Supervising building societies’ treasury and lending activities

SII Firms

SS20/16 – Solvency II: reinsurance – counterparty credit risk

CRR Firms

SS21/15 – Internal Governance

SII Firms

SS22/15 – Solvency II: applying EIOPA’s Set 1 Guidelines to PRA-authorised firms

SII Firms

SS23/15 – Solvency II: Supervisory approval for the volatility adjustment

SII Firms

SS25/15 – Solvency II: Regulatory reporting, internal model outputs

SII Firms

SS26/15 – Solvency II: ORSA and the ultimate time horizon – non-life firms

CRR Firms // Non-CRR Firms

SS28/15 – Strengthening individual accountability in banking

SII Firms

SS3/14 – The Prudential Regulation Authority's (PRA's) approach to schemes of arrangement proposed by PRA-authorised insurers under Part 26 of the Companies Act 2006

SII Firms

SS3/15 – Solvency II: The quality of capital instruments

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SS3/16 – Fees: PRA approach and application

SII Firms

SS3/17 – Solvency II illiquid unrated assets

CRR Firms

SS3/18 – Model risk management principles for stress testing

SII Firms // Non-SII Firms

SS3/19 – Enhancing banks’ and insurers’ approaches to managing the financial risks from climate change

CRR Firms

SS3/21 – Non-systemic UK banks: The Prudential Regulation Authority’s approach to new and growing banks

SII Firms

SS30/15 – Solvency II: treatment of sovereign debt in internal models

CRR Firms

SS31/15 – The Internal Capital Adequacy Assessment Process (ICAAP) and the Supervisory Review and Evaluation Process (SREP)

CRR Firms

SS32/15 – Pillar 2 reporting, including instructions for completing data items FSA071 to FSA082, and PRA111

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SS33/15 – Aggregation of holdings for the purpose of prudential assessment of controllers

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SS34/15 – Guidelines for completing regulatory reports

SII Firms // Non-SII Firms

SS35/15 – Strengthening individual accountability in insurance

SII Firms

SS36/15 – Solvency II: life insurance product reporting codes

SII Firms

SS37/15 – Solvency II internal model reporting codes and components

SII Firms

SS38/15 – Solvency II: consistency of UK generally accepted accounting principles with the Solvency II Directive

SII Firms // CRR Firms

SS39/15 – Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

SII Firms // Non-SII Firms

SS4/14 – Capital extractions by run-off firms within the general insurance sector

SII Firms

SS4/15 – Solvency II: the solvency and minimum capital requirements

CRR Firms // Non-CRR Firms

SS4/16 – Internal governance of third country branches

SII Firms

SS4/17 – Cyber insurance underwriting risk

SII Firms

SS4/18 – Financial management and planning by insurers

CRR Firms

SS4/19 – Resolution assessment and public disclosure by firms

CRR Firms

SS4/21 – Ensuring operational continuity in resolution

SII Firms

SS41/15 – Solvency II: applying EIOPA’s Set 2, System of Governance and ORSA Guidelines

CRR Firms

SS42/15 – Contractual stays in financial contracts governed by third-country law

Non-SII Firms

SS43/15 – Non-Solvency II insurance companies – Capital assessments

SII Firms

SS44/15 – Solvency II: third-country insurance and pure reinsurance branches

CRR Firms

SS45/15 – The UK leverage ratio framework

SII Firms

SS5/14 – Solvency II: calculation of technical provisions and the use of internal models for general insurers

SII Firms

SS5/15 – Solvency II: the treatment of pension scheme risk

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SS5/16 – Corporate governance: Board responsibilities

SII Firms

SS5/17 – Dealing with a market turning event in the general insurance sector

CRR Firms

SS5/18 – Algorithmic trading

SII Firms // Non-SII Firms

SS5/19 – Liquidity risk management for insurers

CRR Firms

SS5/21 – International banks: The PRA’s approach to branch and subsidiary supervision

CRR Firms

SS6/14 – Implementing CRD; Capital buffers

SII Firms

SS6/15 – Solvency II: the internal model treatment of participations

SII Firms

SS6/16 – Maintenance of the ‘transitional measure on technical provisions’ under Solvency II

SII Firms

SS6/18 – Solvency II: National Specific Templates LOG files

CRR Firms

SS7/13 – Definition of Capital (CRR Firms)

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SS7/14 – Reports by skilled persons

SII Firms

SS7/15 – Solvency II: supervision of firms in difficulty or run-off

CRR Firms

SS7/16 – The contractual recognition of bail-in: impracticability

SII Firms

SS7/17 – Solvency II: Data collection of market risk sensitivities

SII Firms

SS7/18 – Solvency II: Matching adjustment

CRR Firms

SS8/13 – The Basel I floor

SII Firms

SS8/14 – Subordinated guarantees and the quality of capital for insurers

SII Firms

SS8/15 – Solvency II: composites

CRR Firms

SS8/16 – Ring-fenced bodies (RFBs)

SII Firms

SS8/18 – Solvency II: Internal models – modelling of the matching adjustment

CRR Firms

SS9/13 – Securitisation: Significant Risk Transfer

SII Firms // Non-SII Firms

SS9/14 – Valuation risk for insurers

SII Firms

SS9/15 – Solvency II: Group supervision

CRR Firms

SS9/17 – Recovery Planning

SII Firms

SS9/18 – Solvency II: Internal models – modelling of the volatility adjustment

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SoP – Calculating risk-based levies for the Financial Services Compensation Scheme deposits class

CRR Firms // Non-CRR Firms

SoP – Conditions, time limits and variations of approval

SII Firms // Non-SII Firms

SoP – Dealing with insurers in financial difficulties

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SoP – Deposit Guarantee Scheme

CRR Firms

SoP – Designation of investment firms for prudential supervision by the Prudential Regulation Authority

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms

SoP – Interpretation of EU Guidelines and Recommendations: Bank of England and PRA approach after the UK’s withdrawal from the EU

CRR Firms // Non-CRR Firms

SoP – Liquidity and funding permissions

SII Firms // CRR Firms // Non-CRR Firms

SoP – Operational resilience

CRR Firms // Non-CRR Firms

SoP – Pillar 2 Liquidity

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SoP – Policyholder protection

SII Firms

SoP – Solvency II: Matching Adjustment Permissions

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SoP – The PRA’s approach to identifying other systemically important institutions (O-SIIs)

CRR Firms

SoP – The PRA’s approach to the implementation of the O-SII buffer

SII Firms

SoP – The PRA’s approach to the publication of Solvency II technical information

CRR Firms

SoP – The PRA’s methodologies for setting Pillar 2 capital

SII Firms // Non-SII Firms

SoP – The Prudential Regulation Authority's approach to insurance business transfers

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SoP – The Prudential Regulation Authority’s allocation of decision making and approach to supervisory decisions

SII Firms

SoP – The Prudential Regulation Authority’s approach to insurance branch authorisation and supervision

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms // Non-authorised persons

SoP – The Prudential Regulation Authority’s approach to rule permissions and waivers

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms

SoP – The financial stability information power

CRR Firms

SoP – The implementation of ringfencing: the PRA’s approach to ring-fencing transfer schemes

CRR Firms

SoP – The power of direction over qualifying parent undertakings

SII Firms // CRR Firms // Non-SII Firms // Non-CRR Firms

SoP – The use of PRA powers to address serious failings in the culture of firms

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