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Supervision of Financial Conglomerates

Table of Contents

Introduction 1
Capital Adequacy Principles paper
Objective, Summary of principles 5
Measurement Techniques and Background 6
Assumptions 7
Definitions 7
Guiding principles 7
Annex 1: Supervisory Measurement Techniques 15
Annex 2: Summary and Examples of Measurement Techniques 19
Supplement to the Capital Adequacy Principles paper
Introduction 27
Illustrative examples 28
Fit and Proper Principles paper
Objective and Background 39
Principal elements of fit and proper criteria 40
Guiding principles 41
Framework for Supervisory Information Sharing paper
Purpose and objectives 45
Definitions 46
Background and Observations of the Task Force 47
Framework for Identifying Supervisory Information Needs 50
Exchange of Information Between Supervisors under Various Circumstances 55
Annex A: Conglomerate Questionnaire 61
Annex B: Outline of Types of Information that would be Useful in an Emergency Situation 93
Principles for Supervisory Information Sharing paper
Objective and Background 101
Guiding principles 102
Annex 1: G-7 Ten Key Principles on Information Sharing 108
Coordinator paper
Objective and Background 112
Factors affecting the choice of options 113
Guiding principles 114
Annex 1: Catalogue of possible elements of coordination 118
Annex 2: Possible basis to assist in identifying a Coordinator 119
Supervisory Questionnaire
Introduction 121
Stated purpose and objectives of supervision 121
Legal authority 121
Methods of assessing financial condition 123
Tools of supervision 124
Other mechanisms to enhance sound practices 125
Information flows among supervisors 125
Matrix record 126

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