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1、BaselCommitteeonBankingSupervisionSoundPracticesfortheManagementandSupervisionofOperationalRiskFebruary2003RiskManagementGroupoftheBaselCommitteeonBankingSupervisionChairman:MrRogerCole–FederalReserveBoard,Washington,DCBanqueNationaledeBelgique,BrusselsMsDominiqueGress
2、ensCommissionBancaireetFinancière,BrusselsMrJosMeulemanOfficeoftheSuperintendentofFinancialInstitutions,MrJeffMillerOttawaCommissionBancaire,ParisMrLaurentLeMouëlDeutscheBundesbank,FrankfurtamMainMsMagdaleneHeidMsKarinSagner-KaiserBundesanstaltfürFinanzdienstleistungsa
3、ufsicht,BonnMsKirstenStrausBancad’Italia,RomeMrClaudioDauriaMrFabrizioLeandriMrSergioSorrentinoBankofJapan,TokyoMrSatoshiYamaguchiFinancialServicesAgency,TokyoMrHirokazuMatsushimaCommissiondeSurveillanceduSecteurFinancier,MrDavyReinardLuxembourgDeNederlandscheBank,Amst
4、erdamMrKlaasKnotBancodeEspaña,MadridMrGuillermoRodriguez-GarciaMrJuanSerranoFinansinspektionen,StockholmMrJanHedquistSverigesRiksbank,StockholmMrThomasFlodénEidgenössischeBankenkommission,BernMrMartinSprengerFinancialServicesAuthority,LondonMrHelmutBauerMrVictorDowdFed
5、eralDepositInsuranceCorporation,Washington,D.C.MrMarkSchmidtFederalReserveBankofNewYorkMsBeverlyHirtleMrStefanWalterFederalReserveBoard,Washington,D.C.MrKirkOdegardOfficeoftheComptrolleroftheCurrency,Washington,MrKevinBaileyD.C.MsTanyaSmithEuropeanCentralBank,Frankfurt
6、amMainMrPanagiotisStrouzasEuropeanCommission,BrusselsMrMichelMartinoMsMelaniaSavinoSecretariatoftheBaselCommitteeonBankingMrStephenSeniorSupervision,BankforInternationalSettlementsTableofContentsIntroduction..............................................................
7、..............................................................1Background...................................................................................................................1IndustryTrendsandPractices......................................................
8、.................................2SoundPractices.....................................................................