Guideline for Financial Conglomerates Supervision
I Basic Concepts concerning Financial Conglomerates Supervision
II Evaluation Points for Financial Conglomerates Supervision (Viewpoints)
- II-1 Governance
- II-2 Financial Soundness
- II-2-1 Capital Adequacy
- II-2-2 Risk Management System
- II-2-2-1 Risk Management (General)
- II-2-2-2 Credit Risk Management System
- II-2-2-3 Market Risk Management System
- II-2-2-4 Liquidity Risk Management System
- II-2-3 Equivalence of Conglomerate Supervision by Foreign Supervisory Authorities
- II-3 Operational Appropriateness
- II-3-1 Compliance System
- II-3-2 Appropriateness of Intra-group Transactions
- II-3-3 Operational Risk Management System
- II-3-4 System Risk Management System
- II-3-4-1 System Integration Risk Management System
- II-3-5 Crisis Management System
- II-3-6 Capital Increase
- II-3-7 Protection of Customer Information
III Focal Points related to the Administration of Supervision
- III-1 Closer Cooperation with Other Departments
- III-1-1 Cooperation within Supervisory Departments
- III-1-2 Cooperation with Inspection Departments
- III-1-3 Joint Meetings of Supervisory and Inspection Departments
- III-1-4 Cooperation with Foreign Supervisory Authorities
- III-2 System for Exchange of Opinions
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