Guide to Authorization-Chapter 4-Authorization

Topic:

Authorization - Guide to Authorization

Authorization - Minimum Criteria for Authorization

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

Group: All Authorized Institutions