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1、BaselCommitteeonBankingSupervisionCorePrinciplesforEffectiveBankingSupervisionOctober2006Requestsforcopiesofpublications,orforadditions/changestothemailinglist,shouldbesentto:BankforInternationalSettlementsPress&CommunicationsCH-4002Basel,SwitzerlandE-mail:publications@bis.orgFax:+4161

2、2809100and+41612808100©BankforInternationalSettlements2006.Allrightsreserved.Briefexcerptsmaybereproducedortranslatedprovidedthesourceisstated.ISBNprint:92-9131-725-XISBNweb:92-9197-725-XContentsCorePrinciplesforEffectiveBankingSupervision...............................................

3、.....................1Forewordtothereview.............................................................................................................1TheCorePrinciples..................................................................................................................2Pre

4、conditionsforeffectivebankingsupervision........................................................................6CorePrinciplesforEffectiveBankingSupervision(TheBaselCorePrinciples)Forewordtothereview1.ThisdocumentistherevisedversionoftheCorePrinciplesforEffectiveBanking1Supervision,wh

5、ichtheBaselCommitteeonBankingSupervision(theCommittee)originally2publishedinSeptember1997.AlongwiththeCorePrinciplesMethodology,theCorePrincipleshavebeenusedbycountriesasabenchmarkforassessingthequalityoftheirsupervisorysystemsandforidentifyingfutureworktobedonetoachieveabaselinelevelo

6、fsoundsupervisorypractices.Experiencehasshownthatself-assessmentsofcountries’compliancewiththeCorePrincipleshaveprovenhelpfulfortheauthorities,inparticularinidentifyingregulatoryandsupervisoryshortcomingsandsettingprioritiesforaddressingthem.TherevisionoftheBaselCorePrinciplesprovidesa

7、nadditionalreasonforcountriestoconductsuchself-assessments.TheCorePrincipleshavealsobeenusedbytheIMFandtheWorldBankinthecontextoftheFinancialSectorAssessmentProgramtoassesscountries’bankingsupervisionsystemsandpractices.Since1997,however,significantchangeshaveoccurredinbankingregulat