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

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