1. Routine reporting to supervisor

(a) Reporting institutions (e.g. regulated entity only or consolidated reporting)
(b) Coverage of reports (e.g., financial statements, intercompany funding)
(c) Frequency of reports
(d) Public availability of routine reporting

2. Types of monitoring/surveillance reports produced

(a) Institutions covered by monitoring/surveillance and method of selection (e.g., regulated entity alone or including affiliates of regulated entity)
(b) Types of analysis used to analyse reporting information (e.g., ratio analysis, predictive models)
(c) Frequency of monitoring/surveillance reports
(d) Types of follow up (e.g., meeting with management, targeted inspections)
(e) Access to monitoring/surveillance reports and analyses (e.g., public report, confidential report)

3.Non-routine reporting to supervisor

B.On-site inspections

1.Basic information

(a) Types of financial institutions covered (and not covered) by on-site inspections and method of selection (e.g., bank, securities and insurance institutions, affiliates of regulated entity)
(b) Frequency of on-site inspections of institutions (and individual domestic and foreign entities)
(c) Qualifications of personnel conducting on-site inspections (e.g., commissioned examiners, auditors, market specialists, self-regulatory organisations)
(d) Aspects of condition and compliance reviewed during on-site inspections (e.g., capital, earnings, risk management, intercompany transactions)
(e) Scope of work on risk management (e.g., credit risk, market risk, liquidity risk, settlement risk, underwriting, claims and reserving risks, asset risk, operational risk, support functions risk, compliance with laws and regulations, internal audit)
(f) Process and procedures used to evaluate components of inspections (e.g., meetings with management, interviews with line personnel, transaction testing, review of risk management and valuation models)

2.Product of on-site inspections

(a) Type of reports (e.g., letter to management, full report for board of directors)
(b) Access to reports (e.g., public report, confidential report)

C.External auditors/self-regulatory organisations ("SROs")

1.Supervisor's ability to establish scope of the audit or review
2.Statutory obligation of auditor/SRO to supervisor
3.Access to reports

(a) Supervisors
(b) Others