認可的最低準則指引

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 LMR NSFR CFR Contingency planning LAC Revocation/suspension INEDs Internal auditors Solo/consolidated supervision Stress-testing External auditors Group structure Conflict of interest Retail wealth management CCyB ratio CET1 capital Private wealth management HLA ratio Risk measurement Tier 1 capital CAAP Off-site review On-site examination Treat customers fairly SRP Cash-flow projection Collateral/guarantees Management information system Operational continuity Country risk Cross border activities Incentive systems Three lines of defence -

Group: All Authorized Institutions