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DNB - Prudential supervision

Relevant for:
ban
Validity:
valid 
Date:
17 january 2018
Status
Factsheet
Reference:
02207-1
Author:
DNB

Accounting and reporting

  • CRD IV factsheet on reporting for credit institutions
  • Financial information survey among non-IFRS banks to replace the current FINREP
  • Phased implementation - non-IFRS banks
  • Overview of references to the Dutch Guidelines on Annual Accounting - non-IFRS banken
  • CRD IV – Interim profits
  • CRD IV – procedure to obtain prior permission to include interim profits in CET1 capital as applicable to credit institutions classified as a LSI
  • COREP CR SEC Details (revised COREP 31 December 2010)

Remuneration policy

  • Publication of the Regulation on Sound Remuneration Policies

Concentration risk

  • Consolidated scope for Policy Rule on Concentration Risk
  • Supplementary policy in the context of section 3(e) of the Policy Rule on the Treatment of Concentration Risk in Emerging Countries

Capital

  • DNB confirms systemic buffers
  • ING Bank N.V. identified as a global systemically important institution (G-SII)
  • CRD IV – procedure to obtain prior permission to include interim profits in CET1 capital as applicable to credit institutions classified as a LSI

Liquidity

  • DNB decisions on liquidity requirements and reporting
  • Guidance Agreed upon Procedures engagement letter for ILAAP (AUP)
  • Q&A on definition of promotional lender
  • Guidance on Article 23 of the LCR Delegated Act

Market risk

  • Involvement of host supervisors in IRC approval?
  • Application form internal model market risk

Operational risk

  • Operational risk
  • Results of penetration tests (pentests) research theme

Options and discretions

  • ECB Guideline and Recommendation on the exercise of Options and Discretions for LSIs
  • Notification form for exercise of options and discretions by institutions under CRR/CRD IV
  • CRD IV factsheet - notes on implementation of options and discretions under CRD IV and CRR

Securitisations

  • Securitisation rules: 'significant risk transfer', retention and due diligence
  • Implicit Support

Covered Bonds

  • How does DNB decide on a bank’s application to have a category of bonds issued or to be issued by that bank, and the bank itself, entered in a public register?
  • What is the public register of covered bonds?
  • Why regulate registered covered bonds in the Netherlands?
  • What are the aspects not included in the supervision of covered bonds in the Netherlands?
  • Covered Bonds
  • DNB's enforcement of supervision on registered covered bonds
  • Healthy balance sheet conditions
  • Check on minimum required over-collateralisation (OC) of 105%
  • Check on minimum required collateralisation, taking into account the restrictions imposed by Article 129 of the CRR
  • Check on minimum required liquidity buffer
  • Register of covered bonds

SREP and Pillar 2

  • DNB introduces a new approach for Pillar II liquidity requirements for LSI’s
  • What confidence interval applies for assessing capital adequacy as part of institutions' ICAAP?

Transactionmonitoring

  • Guidance on the transaction monitoring process at banks
  • Q&A - Assessment of Ongoing Due Diligence Process (WWFT and SW)
  • Customer Due Diligence on foundations with respect to terrorist financing
  • Financial Action Task Force on money laundering

Other

  • Supervisory disclosure
  • Real estate valuations in the financial sector
  • DNB's expectations regarding the activities of external auditors with respect to the statements of banks and insurers that are not subject to the certification requirement
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Laws and EU Directives
  • CRD IV en CRR
  • Act on the Supervision of Trust Offices (Wet toezicht trustkantoren – Wtt)
  • Anti-Money Laundering and Anti-Terrorist Financing Act
  • Financial Conglomerates Directive (2002/87/EC)
  • Payment services in the internal market
  • Regulations establishing European Supervisory Authorities
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