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 Regulatory reporting/disclosures Senior management/72B managers Risk appetite/limits LCR Contingency planning LAC CFR LMR NSFR Revocation/suspension INEDs Group structure Solo/consolidated supervision Internal auditors Stress-testing External auditors Conflict of interest Private wealth management Retail wealth management CCyB ratio CET1 capital HLA ratio Risk measurement Tier 1 capital CAAP Off-site review On-site examination Operational continuity 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