金融控股集团监管原则--BIS委员会-XXXX.pdf

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1、BaselCommitteeonBankingSupervisionJointForumPrinciplesforthesupervisionoffinancialconglomeratesSeptember2012ThispublicationisavailableontheBISwebsite(www.bis.org).©BankforInternationalSettlements2012.Allrightsreserved.Briefexcerptsmaybereproducedortranslatedprovidedthesourceiscite

2、d.ISBN92-9131-156-1(print)ISBN92-9197-156-1(online)THEJOINTFORUMBASELCOMMITTEEONBANKINGSUPERVISIONINTERNATIONALORGANIZATIONOFSECURITIESCOMMISSIONSINTERNATIONALASSOCIATIONOFINSURANCESUPERVISORSC/OBANKFORINTERNATIONALSETTLEMENTSCH-4002BASEL,SWITZERLANDPrinciplesforthesupervisionoffi

3、nancialconglomeratesSeptember2012TheJointForumwasestablishedin1996undertheaegisoftheBaselCommitteeonBankingSupervision(BCBS),theInternationalOrganizationofSecuritiesCommissions(IOSCO)andtheInternationalAssociationofInsuranceSupervisors(IAIS)todealwithissuescommontothebanking,secur

4、itiesandinsurancesectors,includingtheregulationoffinancialconglomerates.TheJointForumcomprisesanequalnumberofseniorbank,insuranceandsecuritiessupervisorsrepresentingeachsupervisoryconstituency.Contents1.Background....................................................................

5、...............................................12.Objective.......................................................................................................................23.Scopeofapplication..................................................................................

6、....................54.Glossary........................................................................................................................75.Principles.....................................................................................................................

7、.8I.Supervisorypowersandauthority................................................................................9II.Supervisoryresponsibility...........................................................................................12III.CorporateGovernance.......................

8、.................................