Part II

Documents by Author

Committees at the Bank for International...

Supervision of Financial Conglomerates

Supervisory Questionnaire

Part II

Part II

III. METHODS OF ASSESSING FINANCIAL CONDITION
	Supervisor One	Supervisor Two	Supervisor Three
A. MONITORING/SURVEILLANCE
1. ROUTINE REPORTING
a. Reporting Institutions
b. Coverage of Reports
c. Frequency of Reports
d. Public Availability
e. Changes Expected in the Future (discuss any changes in reporting requirements contemplated in the near- term)
2. TYPES OF MONITORING/ SURVEILLANCE REPORTS
a. Institutions Covered and Method of Selection
b. Types of Analysis Used to Analyze Information
c. Frequency of Monitoring/ Surveillance Reports
d. Types of Follow-Up
e. Access to Monitoring/ Surveillance Reports
f. Expected or Planned Changes in Surveillance/Monitoring Systems
3. NON-ROUTINE REPORTING

B. ON-SITE INSPECTIONS
1. BASIC INFORMATION
a. Types of Institutions Covered by On-site Inspections and Method of Selection
b. Frequency of On-site Inspections
c. Qualifications of Personnel
d. Aspects of Condition and Compliance Reviewed During On-site Inspection
e. Scope of Work on Risk Management
f. Process and Procedures to Evaluate Components of Inspections
g. Changes Planned or Expected in On-site Inspections (discuss changes in scope, frequency, specific work on internal controls and risk management)
2. PRODUCT OF ON-SITE INSPECTIONS
a. Type of Reports
b. Access to Reports

C. EXTERNAL AUDITORS/INDEPENDENT ACTUARIES/SROs
1. SUPERVISOR'S ABILITY TO ESTABLISH SCOPE OF AUDIT/REVIEW
2. STATUTORY OBLIGATION OF AUDITOR/ACTUARY/SRO TO SUPERVISOR
3. ACCESS TO REPORTS
a. Supervisors
b. Others
IV. TOOLS OF SUPERVISION
	Supervisor One	Supervisor Two	Supervisor Three
A. PRUDENTIAL REGULATIONS AND SCOPE OF APPLICATION

B. SUPERVISORY GUIDANCE

V. OTHER MECHANISMS TO ENHANCE SOUND PRACTICES
	Supervisor One	Supervisor Two	Supervisor Three
A. CODES OF CONDUCT

B. INDUSTRY ADVISORY GROUPS

C. OTHER

VI. INFORMATION FLOWS AMONG SUPERVISORS
	Supervisor One	Supervisor Two	Supervisor Three
A. ON-GOING, REGULAR FLOWS
1. BANKING, SECURITIES AND INSURANCE SUPERVISORS
2. DOMESTIC AND FOREIGN SUPERVISORS
3. TYPES OF INFORMATION
4. FREQUENCY OF FLOWS
B. FLOWS UNDER NON-NORMAL CONDITIONS
1. BANKING, SECURITIES AND INSURANCE SUPERVISORS
2. DOMESTIC AND FOREIGN SUPERVISORS
3. TYPES OF INFORMATION
4. FREQUENCY OF FLOWS

Risk Library * Documents by Author * Committees at the Bank for International Settlement (BIS) * Supervision of Financial Conglomerates * Supervisory Questionnaire * Matrix record