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Call key data

Implementing Effective Supervision over Non-bank Financial Institutions

Funding Program

Instrument for Pre-accession Assistance

Call number

EuropeAid/180683/DD/ACT/UA

deadlines

Opening
12.03.2024

Deadline
07.05.2024 14:30

Call budget

€ 1,500,000.00

Estimated EU contribution per project

€ 1,500,000.00

Link to the call

ec.europa.eu

Link to the submission

ec.europa.eu

Call content

short description

Projects should implement supervisory assessment of NBFI in line with EU standards and development of the economic ratios model for NBFGs in Ukraine.

Call objectives

The overall objective is to develop stable, secure and efficient financial services markets in Ukraine to provide financial resources to the national economy and support the country’s post-war recovery, economic and social development and integration into the global financial environment.

Expected results

The project will include 4 components:

Mandatory Result 1 / Component A: Introduction of quantitative assessment of risks that pose a threat of capital loss, liquidity of NBFIs and risk profile.

Development of Regulation on quantitative assessment of risks that pose a threat of capital loss, to assessment of capital adequacy and to determination of risk profile of NBFIs; development of the “Roadmap” that introduces internal process of capital adequacy assessment and process of liquidity adequacy assessment by NBFIs or other approaches, based on European experience for certain market segments, namely: insurers; credit unions; joint credit unions; guarantors; payment services providers; lessors; factoring companies; NBFIs providing loans.

In the context of Mandatory Result 1, as a minimum the following sub-results will be achieved:

Sub-result 1.1:  Under Sub-result 1.1, a Roadmap for quantitative assessment of risks affecting NBFIs’ performance and respective draft regulatory requirements will be developed.

  • Development of the “Roadmap” that introduces quantitative assessment of risks that pose a threat of capital loss (indicators, criteria), to assessment of capital adequacy and liquidity adequacy, to construction of risk profile of NBFIs (insurers; credit unions; joint credit unions; guarantors; payment services providers; lessors; factoring companies; NBFIs that provide loans).
  • Development of the regulatory requirements for the organization and effective functioning of risk management systems, internal control, corporate governance and of the respective supervisory check/assessment techniques for segments of the non-banking financial services market:
    • insurance companies;
    • credit unions;
    • financial companies (which provide one or more of the following types of financial services: lending, factoring, financial leasing, provision of guarantees);
    • pawnshops.
  • Improving NBU employees’ skills regarding approaches on quantitative risk assessment, risk profile construction, capital adequacy assessment, liquidity and application of internal process of capital adequacy assessment and liquidity adequacy assessment process by NBFIs, or other approaches based on European experience in EU MS.

Sub-result 1.2.

  • Development of a Regulation (“target model” of SRM), which includes a quantitative assessment of risks and capital adequacy, risk profile.
  • Improvement of Regulation that set up capital requirements to cover significant risks, taking into account regulatory approaches set out in White Books for insurers; credit unions; joint credit unions; guarantors; payment services providers; lessors; factoring companies; NBFIs that provide loans.
  • Conducting trainings for the Ukrainian nonbank financial services market participants on approaches to construct SRM, used in European practice.

Sub-result 1.3.

  • Depending on sub-results 1.1, 1.2 and studying European experience on best practices of regulatory requirements for internal assessment of capital adequacy by NBFIs - development of a concept and “Roadmap” for introduction of internal capital adequacy and liquidity assessment in the Ukrainian nonbank financial services market.
  • Strengthening competencies of the NBU employees in the best European practice of regulatory requirements regarding internal assessment of capital adequacy by NBFIs.

Mandatory Result 2 / Component B: Development of risk-oriented supervision and introduction of supervisory assessment of NBFIs.

  • New methodologies developed to implement supervisory assessment of NBFIs considering their size and features; strategy and business models; risk management systems, internal control, corporate governance.
  • In the context of Mandatory Result 2, as a minimum the following sub-results will be achieved:

Sub-result 2.1.

  • Development of a supervisory assessment methodology of NBFIs that will ensure the implementation of risk-based supervision by identifying institutions that require more intensive supervision (including corrective actions and early intervention measures), taking into account the size of the financial service provider and its accumulated risks (including risks related to the participation in a financial group) and the quality of their management.
  • Improving NBU employees’ skills regarding an experience of building and applying of supervisory assessment of NBFIs.

Sub-result 2.2.

  • Development of a Draft Regulation on introduction of supervisory assessment, improvement (if necessary) Regulation on NBFIs supervision (off-site and on-site), risk assessment criteria, identification of socially important / significant institutions, application of response measures.
  • Improving NBU employees’ knowledge on:
    • internal procedures / regulations / tools to conduct supervisory assessment, used by EU MS supervisory authorities, including acquaintance with relevant documents;
    • experience of building risk-oriented supervision, documentation of supervisory actions, filing of risk-oriented supervision results, including Paperless principle application;
    • development and implementation of approaches to building an Early Response System, tools and procedures for risk-oriented supervision of insurers, credit unions, joint credit unions, guarantors, payment services providers, lessors, factoring companies, NBFIs that provide loans.

Mandatory result 3 / Component C: Development of a model of prudential requirements for NBFGs.

A model of prudential requirements for NBFGs (composition of standards and their limit values) is developed and implemented.

In the context of Mandatory Result 3, as a minimum the following sub-results will be achieved:

Sub-result 3.1.

  • The composition of standards aimed at limiting risks to which a NBFI is exposed as a result of participation in a NBFG is defined.
  • Improving NBU employees’ skills in regulation and supervision on a consolidated basis of NBFGs and NBFIs participating in banking groups.

Sub-result 3.2.

  • Approbation of standards was carried out with the involvement of Ukrainian NBFGs participants, limit values of standards were determined.

Sub-result 3.3.

  • Development of amendments to the Regulation on regulation of NBFGs in order to introduce the standards defined.

Mandatory Result 4 / Component D: Institutional strengthening the NBU capacity as the NBFS

Supervisory Authority in the area of European integration of Ukraine.

Strengthening the NBU capacity for the implementation of the EU-Ukraine Association Agreement obligations and preparing for EU accession, negotiations with the European Commission and the EU MS during the European Integration process. It should result into fulfilling Ukraine’s obligation under the EU-Ukraine Association Agreement, successful cooperation with the EC and increasing practical knowledge of negotiation process, its strategy and tactics to reach the EU Membership. The NBU`s cooperation with EIOPA, EU MS NBFS Supervisory Authorities/Central Banks and International Organizations in the nonbank financial sphere is also expected to be improved. NBU also expects to develop a system for the exchange of experience and knowledge between regulators of NBFIs, including the establishment/involvement in expert and training platforms, events for exchange/sharing expertise and experience on bilateral and multilateral basis.

In the context of Mandatory Result 4, as a minimum the following sub-results will be achieved:

Sub-Result 4.1. The recommendations for efficient EU accession negotiations, preparing information on the NBU progress for EU Enlargement Package, the implementation of the EU-Ukraine Association Agreement obligations in the nonbank financial sphere.

Sub-Result 4.2. Recommendations on enhancing cooperation of the NBU with EIOPA, EU MS NBFS Supervisory Authorities /Central Banks and International Organizations in the nonbank financial sphere and in international fora, including the IAIS.

Sub-Result 4.3. Recommendations on the organization of exchange of experience and special knowledge system, including the establishment/involvement in expert and training platforms/Center/events for exchange/sharing expertise and special knowledge on bilateral and multilateral basis between the NBU and banking/nonbanking financial regulators.

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Eligibility Criteria

Regions / countries for funding

EU Member States

eligible entities

Public Body (national, regional and local; incl. EGTCs)

Mandatory partnership

No

Project Partnership

Only Public Administrations and Mandated bodies as per Twinning Manual of European Union Member States may apply through European Union Member States’ National Contact Points.

Additional information

Topics

Administration & Governance, Institutional Capacity & Cooperation, 
Competitiveness of Enterprises, Employment/Labour Market, SME & entrepreneurship

Relevance for EU Macro-Region

EUSDR - EU Strategy for the Danube Region

UN Sustainable Development Goals (UN-SDGs)

project duration

24 months

Additional Information

Twinning proposals must be submitted by the Member State Administration to the EU Member States National Contact Points for Twinning following the instructions of the Twinning Manual which must be strictly observed (including the use of the template). 

Only one Twinning proposal for Member State can be submitted by the Member State National Contact Points for Twinning to the Contracting Authority within the deadline for applications. 

The MS application should be submitted to the Contracting Authority via the email address of Member State National Contact Points for Twinning.

Call documents

EuropeAid/180683/DD/ACT/UA call documentEuropeAid/180683/DD/ACT/UA call document(950kB)

Contact

Twinning NCP Austria
+43 50 1150 3668
winning@bmeia.gv.at
Website

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