Guideline on Minimum Criteria for Authorization

Topic:

Authorization - Minimum Criteria for Authorization

Keyword: Systems/controls Board of Directors Controllers CEs/ACEs Supervisory cooperation + EOs/ReIs Policies/procedures Senior management/72B managers Risk appetite/limits Regulatory reporting/disclosures LCR Contingency planning LAC CFR NSFR LMR INEDs Group structure Solo/consolidated supervision Stress-testing Revocation/suspension Internal auditors External auditors Private wealth management CCyB ratio CET1 capital HLA ratio Risk measurement Tier 1 capital CAAP Off-site review On-site examination Conflict of interest Retail wealth management Operational continuity Country risk Cross border activities Incentive systems Three lines of defence Treat customers fairly SRP Cash-flow projection Collateral/guarantees Management information system -

Group: All Authorized Institutions