《認可指引》第四章—認可

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

Group: All Authorized Institutions