Guideline for Financial Conglomerates Supervision

I  Basic Concepts concerning Financial Conglomerates Supervision

• I-1  Definition of Financial Conglomerate
• I-2  Purpose and Methods of 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