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https://www.fsb.org/2020/08/fsb-publishes-questionnaire-on-continuity-of-access-to-fmis-for-firms-in-resolution/

FSB publishes questionnaire on continuity of access to FMIs for firms in resolution

The Financial Stability Board (FSB) today published a common template for gathering information about continuity of access to financial market infrastructures (FMIs) for firms in resolution. The template takes the form of a questionnaire that all FMIs are encouraged to complete. The responses to the questionnaire should be published or made available in other ways to firms that use the FMI services and their resolution authorities to inform their resolution planning. The use of a common questionnaire should reduce the “many to one” nature of inquiries from FMI participants and authorities to FMIs to inform resolution planning and should streamline the provision of this information from FMIs to firms and authorities.

The questionnaire follows from a workshop held in May 2019 with stakeholders about the implementation of the FSB’s Guidance on Continuity of Access to Financial Market Infrastructures (FMIs) for a Firm in Resolution. The Guidance sets out arrangements and safeguards to facilitate continued access to critical clearing, payment, settlement, custody and other services provided by FMIs in cases where firms need to be resolved.

The FSB developed the questionnaire in consultation with FMIs, FMI participants, FMI oversight authorities and with the assistance of the Secretariats of the Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions. It covers: general information on the FMI and its legal structure; the rulebook/contractual provisions regarding termination; the phase prior to resolution, during signs of distress at the FMI participant; the resolution phase; and arrangements and operational processes to facilitate continued access in resolution. The experience with the use of the questionnaire will be reviewed after one year, in consultation with FMIs, FMI participants and FMI oversight authorities.

The FSB will hold a webinar for stakeholders on 23 September to explain the questionnaire and answer questions. Representatives of FMIs, FMI participants and authorities who would like to attend should contact fsb@fsb.org for more details.