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Klaus Lackhoff - Banking Supervision and COVID-19

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Klaus Lackhoff (Hrsg.)

Banking Supervision and COVID-19

Reihe: Beck International

Band 2021

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III. Overview of the individual changes pronounced for supervision S. 118-128

„… not arbitrary. III. Overview of the individual changes pronounced for supervision 1. Quantitative …” „… supervision 12 a) Changes to capital ratios and pillar II capital measures. The capital stacking order …” „… equivalent to a calibration of P2G to zero for all banks subject to BaFin supervision, akin to what other …”

III. What does this mean for banking supervision in Europe? S. 3-4

„… 24. III. What does this mean for banking supervision in Europe? The Corona Crisis started not as a …” „… this book provides an overview on the responses to the Corona crisis in the area of banking supervision …”

II. Italy’s legislative provisions on banking supervision in response to the Corona crisis S. 131-135

„… legislative provisions on banking supervision in response to the Corona crisis 7In the aftermath of the COVID …” „… impact of crisis, such as the current one. In addition, banking supervision is characterized by a broad …” „… proceedings including the ones regarding banking supervision, such as: the 6 Law Decree No 34 of 19 May 2020 …”

II. Analysis of the supervisory measures taken by the ECB S. 25-34

„… banking supervision website at www.bankingsupervision.europa.eu; see also the EBA’s statement on actions …” „… www.eba.europa.eu. 20 See the interview with Andrea Enria, published in the ECB Supervision Newsletter of 13 May …” „… 2020, available on the ECB’s banking supervision website at www.bankingsupervision.europa.eu. 21 See …”

I. Introduction S. 23-25

„… on the European Central Bank concerning policies relating to the prudential supervision of credit …” „… responsible for the supervision of significant credit institutions and (mixed) financial holding companies …” „… that remain under the direct supervision of national competent authorities (NCAs). 2 For an overview of …”

III. Preliminary assessment of the supervisory measures taken by the ECB S. 34-38

„… See press release of 28 July 2020, published on the ECB’s banking supervision website at www …” „… . bankingsupervision.europa.eu. 82 Section 2 of the FAQs, available on the ECB’s banking supervision website at …” „… Supervision Newsletter published on 13 May 2020 on the ECB’s banking supervision website at …”

IV. Lessons learned S. 20-23

„… agree on the final changes. 118 ECB press release of 12 March 2020, ECB Banking Supervision provides …” „… Banking Supervision provides further flexibility to banks in reaction to coronavirus, ECB press release of …” „… 16 April 2020, ECB Banking Supervision provides temporary relief for capital requirements for market …”

Titelei/Inhaltsverzeichnis

„… Lackhoff A Handbook Banking Super vision and COVID-19 Lackhoff Banking Supervision and COVID-19 …” „… Banking Supervision and COVID-19 A Handbook edited by Klaus Lackhoff 2021 Published by Verlag C.H.Beck oHG …” „… , USA email: mail@hartpub.co.uk Suggested citation: [Author], in: Lackhoff (ed), Banking Supervision and …”

II. The Banking Union-judgement S. 272-278

„… Supervision – a Practitioner’s Guide, 2017. 22 BVerfG, Judgment of the Second Senate of 30 July 2019–2 BvR …” „… tasks on the European Central Bank concerning policies relating to the prudential supervision of credit …” „… of the banking supervision to the ECB, which could not be based on Art. 127(6) TFEU, and left only …”

II. Purposes pursued by the dividend recommendation S. 43-48

„… prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and …” „… , as with any firm, inversely Andrea Enria, Chair of the Supervisory Board of the ECB, Supervision …” „… : https://www.bankingsupervision.europa.eu/press/interviews/date/2020/html/ssm. in200513~2e431c1b43.en.html. 31 ECB, The Supervision Blog, Flexibility in …”

I. Introduction S. 114-115

„… , analyses as part of ongoing supervision as well as on-site inspections on institutions’ premises following …” „… constitutional reasons have, so far, prevented the consolidation of supervision in one authority. – Since the …” „… supervision over significant institutions. It is now to be considered the competent authority for the …”

I. Introduction S. 179-180

„… (2020) 169 final, 28.4.2020. 4 Enria, The current crisis is a wake-up call, Interview in ECB Supervision …” „… billion at consolidated level.8 2. Supervision of LSIs in the SSM 5 According to Art. 6(1) sentence 2 of …” „… conducts only the direct supervision for SIs in the euro area, whereas the NCAs perform the task of the …”

IV. Conclusion S. 38-40

„… Enria in the interview published in the Supervision Newsletter of 13 May 2020, available on the ECB’s …” „… banking supervision website at www.bankingsupervision.europa.eu. Part 2. The European Perspective …” „… Tamburini (Il Sole 24 Ore) and published on 23 June 2020 on the ECB’s banking supervision website at …”

II. Legal nature of the announcements made by BaFin and Bundesbank S. 115-118

„… competences under the SSM Regulation (SSMR),5 in particular the direct supervision over significant …” „… institutions. It is now to be considered the competent authority for the supervision of such institutions, and …” „… thus limited to less significant institutions, for the supervision of which BaFin remains responsible …”

I. Internal models – a short recap S. 74-75

„… crisis on the supervision of internal models and temporary supervisory support measures regarding …” „… the impact of other supervisory support measures on the supervision and the use of internal models …” „… responsibility for supervision of significant institutions in 2014 within the Single Supervisory mechanism (SSM …”

III. Supervisory and regulatory reliefs in reaction to corona crisis for LSIs S. 181-189

„… (BaFin), for example, contains just in the area of banking supervision approximately fifty entries and …” „… its early 18 Compare for example ECB Press Release, ECB Banking Supervision provides further …” „… Banking Supervision provides temporary capital and operational relief in reaction to coronavirus …”

II. Oversight of LSIs in general S. 180-181

„… of total value of more than EUR 30 billion at consolidated level.8 2. Supervision of LSIs in the SSM …” „… significant ones.9 However, the ECB conducts only the direct supervision for SIs in the euro area, whereas the …” „… European Central Bank concerning policies relating to the prudential supervision of credit institutions, OJ …”

III. COVID-19 driven supervisory measures taken by Banco de España S. 162-165

„… recommendation on dividend distribution to the credit institutions under its supervision 99 On 27 March 2020 …” „… 2020 dividends of 27 March 2020 to all credit institutions under its direct supervision97. 91 See …” „… of 20 March 2020 to all credit institutions under its direct supervision. The ECB’s statement …”

I. Introduction S. 130-131

„… corporations amid the calamity.5 4 Banking supervision was therefore met – in Italy and in the Eurozone – with …” „… legislative provisions on banking supervision in response to the Corona crisis 7In the aftermath of the COVID …” „… impact of crisis, such as the current one. In addition, banking supervision is characterized by a broad …”

IV. Macroeconomic forecasts S. 67-74

„… provides a response to the deficiencies 49 IFRS 9 B5.5.49. 50 Basel Committee on Banking Supervision …” „… Banking Supervision, Guidance on credit risk and accounting for expected credit losses, 2015, p. 32. 52 …” „… Basel Committee on Banking Supervision, Guidance on credit risk and accounting for expected credit …”

I. Background S. 97-100

„… banking sector subject to its direct supervision, i.e. less significant institutions (hereafter LSIs …” „… European Central Bank concerning policies relating to the prudential supervision of credit institutions, OJ …” „… . https://www.bankingsupervision.europa.eu/home/search/coronavirus/html/index.en.html: We at the ECB have put in place a set of banking supervision and monetary policy measures to …”

I. Introduction S. 236-238

„… lending to the economy. Among other things, ECB and BaFin allowed banks under their supervision to …” „… prominently, the ECB asked banks directly or indirectly under its supervision within the Single Supervisory …” „… , Press Release, ECB Banking Supervision provides temporary capital and operational relief in reaction to …”

VI. Excursus: Asset relief measures S. 231-236

„… European Central Bank (Banking Supervision), Interview with Il Sole 24 Ore, dated 23 June 2020. 44 Chair of …” „… the Supervisory of the European Central Bank (Banking Supervision), Interview with Il Sole 24 Ore …” „… allowed banks under their supervision to temporarily operate below the level of capital defined by the …”

I. The content of the Dividend Recommendation S. 40-43

„… of dividends would be potentially concerned: see A. Enria, How European Banking Supervision can help …” „… Directive 2002/ 87/EC of the European Parliament and of the Council (on the supplementary supervision of …” „… authority competent for the supervision of credit institutions and is also the coordinator in its function …”

III. Why (only) a dividend recommendation? S. 48-49

„… has in accordance with the principle of conferral only those powers for the supervision of specific …” „… level while acknowledging its legal non-bindingness. Banking supervision is on-going supervision …”

III. Supervisory measures adopted by the Bank of Italy to confront the pandemic S. 135-145

„… Supervision provides temporary capital and operational relief in reaction to coronavirus …” „… supervision. In particular, the Bank of Italy established that supervisory data (under the ITS on supervisory …” „… direct supervision of the ECB will be allowed to delay submission of their supervisory data (under the …”

II. Operational relief measures regarding internal models S. 75-77

„… a dedicated Frequently Asked Questions (FAQ) document published on the ECB banking supervision …” „… letter to institutions published on the ECB banking supervision web-site on April 15, 20206. 4 …” „… Lauter “Against this background, euro area significant institutions falling under the direct supervision …”

II. Relations with the ACPR S. 100-104

„… relevant for the institutions subject to its supervision27. 6 The first item refers to the confirmation by …” „… access to the activity of credit institutions and the prudential supervision of credit institutions and …” „… About supervision, the ACPR reminded that it is the competent authority to assess the compliance with …”

III. Compatibility of public investment with resolution regime S. 226-230

„… Supervisory of the European Central Bank (Banking Supervision) to the Member of the European Parliament, Mr …” „… (Banking Supervision) to the Member of the European Parliament, Mr Sven Giegold, dated 23 June 2020. 37 …” „… Letter of the Chair of the Supervisory of the European Central Bank (Banking Supervision) to the Member …”

II. Regulatory challenges for banks during the crisis S. 196-203

„… implementation of measures.9 9 European Central Bank (ECB), Press Release, ECB Banking Supervision provides …” „… addition to the previous publications, the Basel Committee on Banking Supervision (BCBS) presented …” „… Banking Supervision (BCBS) postponed the implementation of the final Basel III framework by one year to 1 …”

V. Assessment of requests for initial approval, material changes or extensions S. 81

„… and intrusive way for the supervision of internal models are onsite investigations conducted by the …” „… contribute to a substantial operational relief for all institutions under its direct supervision while at the …”

II. Sources of administrative law establishing time-limits for ECB supervisory procedures S. 83-89

„… Application of National Banking Supervision Law by the ECB: Three Parallel Modes of Executing EU Law?” (2014 …” „… prudential supervision of credit institutions”; and it may hardly be concluded that provisions of national …” „… general administrative law are such material rules related to prudential supervision. 27 Nonetheless …”

VI. Conclusion S. 81-82

„… and intrusive way for the supervision of internal models are onsite investigations conducted by the …” „… contribute to a substantial operational relief for all institutions under its direct supervision while at the …”

IV. Impact of other support measures on internal models S. 80-81

„… intrusive way for the supervision of internal models are onsite investigations conducted by the supervisor …” „… contribute to a substantial operational relief for all institutions under its direct supervision while at the …”

V. Conclusions S. 230-231

„… Supervisory of the European Central Bank (Banking Supervision), Interview with Il Sole 24 Ore, dated 23 June …” „… 2020. 44 Chair of the Supervisory of the European Central Bank (Banking Supervision), Interview with Il …”

II. Description of the pre-existing (Capital Requirements Regulation) CRR regime and the Commission proposal for quick fixes S. 7-15

„… 2018. 7In 2017 the Basel Committee on Banking Supervision (BCBS) agreed to implement the IFRS 9 …” „… response to Corona pandemic the Group of Central Bank Governors and Heads of Supervision (GHoS …” „… ) 2019/876. 56 Press release Governors and Heads of Supervision announce deferral of Basel III implementation …”

V. Conclusion S. 128-130

„… with regard to those institutions which are under BaFin’s supervision was taken by the German level …” „… supervision was therefore met – in Italy and in the Eurozone – with the important task of recognising and …”

III. Final CRR amendments adopted by the co-legislators on 24 June 2020 S. 15-20

„… , (2) the ECB’s tasks concerning policies relating to the prudential supervision of credit institutions …” „… ECB opinion CON/2020/16, paragraph 5 and ECB press release of 16 April 2020, ECB Banking Supervision …” „… supervision website at www.bankingsupervision.europa.eu). EBA statement on the application of the prudential …”

IV. This book S. 4-7

„… area of banking supervision in the European Union and shows that for example the Italian and Spanish …” „… opposite view. This is not only relevant for the area of monetary policy, but also for supervision …”

I. Introduction S. 57-59

„… on which the ECB has put forward a recommendation. 2 European Central Bank, ECB Banking Supervision …” „… Supervision (BCBS) adds that the IFRS 9 ECL framework is a relative model: 4 The Global Public Policy …”

II. Impairment under IFRS 9 S. 59-61

„… on Banking Supervision (BCBS) adds that the IFRS 9 ECL framework is a relative model: 4 The Global …” „… financial instrument becomes past due or 11 Basel Committee on Banking Supervision, Guidance on credit risk …”

IV. Level of application S. 49-51

„… level while acknowledging its legal non-bindingness. Banking supervision is on-going supervision …”

IV. Commitments undertaken by the banking sector S. 111-114

„… supervision as well as on-site inspections on institutions’ premises following a mandate by BaFin. For this …” „… , prevented the consolidation of supervision in one authority. – Since the formal powers are held by BaFin …”

V. Conclusions S. 190-193

„… – ECB Banking Supervision provides temporary capital and operational relief in reaction to coronavirus …” „… European Banking Supervision can help fight the economic consequences of the coronavirus outbreak in Europe …”

I. Introduction S. 269-272

„… : European Banking Supervision – a Practitioner’s Guide, 2017. 22 BVerfG, Judgment of the Second Senate of 30 …” „… supervision of credit institutions, OJ L 287/63. 24 European Parliament and Council Regulation (EU) of 15 July …”

I. Executive summary S. 167-168

„… 2 SSM Regulation, ECB specific tasks concern policies relating to the prudential supervision of …”

II. The broader context at a glimpse S. 2-3

„… European Union, seem to gain ground24. III. What does this mean for banking supervision in Europe? The …”

VI. Pro-cyclicality S. 175-177

„… the own funds. 60 On 3 April, the Basel Committee on Banking Supervision (BCBS) outlined additional …”

II. Effectiveness of COVID-19-related measures S. 168-170

„… 2 SSM Regulation, ECB specific tasks concern policies relating to the prudential supervision of …”

VII. A possible way forward S. 177-179

„… (2020) 169 final, 28.4.2020. 4 Enria, The current crisis is a wake-up call, Interview in ECB Supervision …”

III. Measures addressing internal models for specific risk types S. 77-80

„… “Against this background, euro area significant institutions falling under the direct supervision …”

II. COVID-19 driven legislative measures implemented relevant for banks S. 149-162

„… distribution to the credit institutions under its supervision 99 On 27 March 2020, Banco de España acknowledged …” „… 2020 to all credit institutions under its direct supervision97. 91 See Article 7 bis (1) of the Law …”

VI. Practical application S. 53-57

„… supervision and not to the broader concept of accounting group as otherwise the objective to keep the funds in …”

Index S. 281-284

„… et seq – operational aspects of supervision M 17, N 43 – risk management M 13 Remuneration A 30, A 43 …”

II. General principles S. 238-242

„… supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing …”

III. Measures intending to promote the granting of loans to corporates S. 104-111

„… institutions and financing companies subject to its direct supervision to refrain from paying, or from taking …”

III. Upcoming challenges for the European banking industry in the long-run S. 203-216

„… , Interview with Andre Enria, Chair of the Supervisory Board of the ECB, Supervision Newsletter, Frankfurt am …”

doi.org/10.17104/9783406779282

Kai Ambos - Rome Statute of the International Criminal Court

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Kai Ambos (Hrsg.)

Rome Statute of the International Criminal Court

Reihe: Beck International

Band 2022

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Article 106. Supervision of enforcement of sentences and conditions of imprisonment S. 2728-2734

„… 3B2 9.1.580; Page size: 160.00mm Article 106 Supervision of enforcement of sentences and conditions …” „… of imprisonment 1. The enforcement of a sentence of imprisonment shall be subject to the supervision …” „… ................................................................................................ ...... 3 1. ‘Sentence of imprisonment shall be subject to the supervision of the Court …”

Article 105. Enforcement of the sentence S. 2725-2728

„… Clark/Hohler 2727 3B2 9.1.580; Page size: 160.00mm Article 106 Supervision of enforcement of sentences and …” „… supervision of the Court and shall be consistent with widely accepted international treaty standards governing …” „… ................................................................................................ ...... 3 1. ‘Sentence of imprisonment shall be subject to the supervision of the Court …”

Article 103. Role of States in enforcement of sentences of imprisonment S. 2701-2722

„… articulates the penitentiary principle that the Court will have ‘the supervision’ of the enforcement of …” „… : ‘“Supervision” generally implies a relationship in which one party has authority over the other or at least has …” „… penitentiary supervision, Article 106(1). This principle has been codified in Article 5 of the Austria …”

Article 52. Regulations of the Court S. 1608-1623

„… Detainees, the Regulations to Govern the Supervision of Visits to and Communications with Detainees and the …” „… Professional Conduct for Defence Counsel (which the Registrar is required to ‘publish’, under the supervision …” „… Counsel Support Section (‘CSS’), is to be responsible, under the supervision of the Registrar, for …”

Article 58. Issuance by the Pre-Trial Chamber a warrant of arrest or a summons to appear S. 1710-1732

„… constraining than measures of judicial supervision that would control his or her personal freedom. The …” „… provision does not provide for the application for other measures of judicial supervision in order to ensure …” „… for the option to issue a warrant for judicial supervision in order to place the person wanted under …”

Article 43. The Registry S. 1522-1534

„… witnesses, under the supervision of the office of either the Registrar or the Prosecutor’.28 The Zutphen …” „… locate the VWU in the Registry under the Registrar’s supervision,32 which is elaborated on in Rules 16 …”

Index S. 3037-3064

„… – Seat Agreement 103 30 – supervision and conditions of imprisonment 106 1 ff. – willingness to act as …” „… 33 1 ff. Supervision and conditions of imprisonment 105 1 ff. – communication between Court and …” „… sentenced person 106 11 – conditions 106 9 ff. – standards of imprisonment 106 6 – supervision of the Court …”

Article 79. Trust Fund S. 2302-2311

„… 98 of the RPE.15 Projects and activities of the Trust Fund are carried out under the supervision of …”

Article 38. The Presidency S. 1474-1485

„… Committee that the paragraph should also spell out ‘supervision and direction of the Registrar and the staff …”

Article 115. Funds of the Court and of the Assembly of States Parties S. 2820-2832

„… supervision of the States Parties.26 In addition, as is clearly indicated by Article 38(3)(a), the Presidency …”

Article 16. Deferral of investigation or prosecution S. 933-945

„… and Article 53 para. 1. In the latter case there is only judicial supervision of the Prosecutor’s …”

Article 56. Role of the Pre-Trial Chamber in relation to a unique investigative opportunity S. 1677-1690

„… explore different alternatives regarding judicial intervention and supervision during an investigation. A …”

Article 59. Arrest proceedings in the custodial State S. 1732-1747

„… the Supervision of Visits to and Communications with Detainees, Rev. 3, 22 Jul. 1999; House Rules for …”

Article 15. Prosecutor S. 881-899

„… proprio motu power along with Pre-Trial Chamber supervision or the omission of the corresponding article …”

Article 8bis. Crime of aggression S. 686-727

„… might also be committed by way of supervision, provided the person concerned could thereby exercise …”

Article 30. Mental element S. 1328-1347

„… entrusted with supervision of manifestly dangerous forces. 46Contextual elements. Third, a simplified mental …”

Article 55. Rights of persons during an investigation S. 1660-1677

„… communicate freely and without supervision with a legal representative of his or her own choosing and to have …”

Article 66. Presumption of innocence S. 1949-1966

„… crime itself, but only with negligent supervision of troops or other subordinates. Yet negligence is not …”

Article 71. Sanctions for misconduct before the Court S. 2108-2127

„… approach, since all ongoing proceedings under the control or supervision of a Chamber may be counted as …”

Article 28. Responsibility of commanders and other superiors S. 1280-1323

„… under their supervision from external dangers, or (ii) third parties from the negative effects of a …” „… the superior liable only for a failure of proper supervision and control of his or her subordinates …”

Article 75. Reparations to victims S. 2240-2263

„… prepare a Draft Implementation Plan to deliver reparations under the TC’s supervision. 38 ICC, Prosecutor …”

Article 3. Seat of the Court S. 49-98

„… supervision the host State authorities have to perform those tasks and duties. In agreement or after due …”

Article 93. Other forms of cooperation S. 2529-2562

„… and oversight of the transfer to and from the Court as well as for the supervision of the person while …”

Article 87. Requests for cooperation: general provisions S. 2457-2492

Titelei/Inhaltsverzeichnis

„… .............................................................................................. 2725 Article 106. Supervision of enforcement of sentences and conditions of imprisonment …”

Article 67. Rights of the accused S. 1966-2001

Article 69. Evidence S. 2037-2089

Article 25. Individual criminal responsibility S. 1189-1247

Article 8. War crimes S. 317-686

doi.org/10.17104/9783406779268

Patrik Buchmüller, Gregor Weiß, Gina Heller‑Herold - Nachhaltigkeitsrisiken in der Finanzwirtschaft

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Patrik Buchmüller, Gregor Weiß, Gina Heller‑Herold

Nachhaltigkeitsrisiken in der Finanzwirtschaft

2023

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Literaturverzeichnis S. 283-296

„… Banking Supervision (2020): Climate-related financial risks, Survey on Current Initiatives, Basel …” „… , 30.04.2020.Basel Committee on Banking Supervision (2021a): Climate-related financial risks – measurement …” „… methodologies, Basel, 14.04.2021.Basel Committee on Banking Supervision (2021b), Climate-related risk drivers …”

3 Vorgaben zum ESG-Risikomanagement und Kapitalunterlegung von ESG-Risiken auf EU-Ebene S. 89-130

„… RequirementsRisk Manage-ment and SupervisionReport on ESG Risks Ma-nagement and SupervisionsSecond Revision of SREP …” „… (2022), S. 441.135 EBA (2022e).136 Basel Committee on Banking Supervision (2022b).137 Vgl. Committee on …” „… (Call for Feedback by large institutions)03.11.2020 EBA Discussion paper on management and supervision …”

1 Einführung S. 27-52

„… Arbeitskreisen. So sind hier jeden-falls das Basel Committee on Banking Supervision (BCBS) und die Task Force on …” „… Regulierungsuni-versums, wie es sich aus Sicht der Banken in der EU darstellt.8* EBA Report on management and supervision …” „… BaFin-Merkblatt zum Umgang mit Nachhaltigkeitsrisiken30.04.2020 Basel Committee on Banking Supervision …”

Titelei/Inhaltsverzeichnis S. 1-26

„… : Inhalte der Good Practice Reports der EZB vom 02.11.2022 und 19.12.2022 (EBC Banking Supervision (2022f …” „… ), S. 4, und EBC Banking Supervision (2022i), S. 5) . . . . . . . 129Abb . 4 .1: Die …” „… FinanzdienstleistungsaufsichtBAIT Bankaufsichtliche Anforderungen an die ITBCBS Basel Committee on Banking Supervision; Baseler …”

2 BaFin-Vorgaben zu ESG-Risiken S. 53-88

„… Banking Supervision (2021a) und Basel Committee on Banking Supervision (2021b).52 Siehe auch Dietz (2022b …” „… Management and Supervision of ESG Risks vom 23.06.2021. Zehn Jahre werden auch im Rahmen des …” „… Management and Supervision of ESG Risks.67Als weiterer Teil der BaFin-Umfrage wurde der Umsetzungsstand zu …”

Stichwortverzeichnis S. 297-300

„… mit Nachhaltig-keitsrisiken 28, 32 f., 53, 66, 88Basel Committee on Banking Supervision/Base-ler …”

doi.org/10.34156/9783791050010

Patrik Buchmüller, Marcus Haas, Frank Beekmann - OpRisk-Regulierung der Banken nach Basel III

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Patrik Buchmüller, Marcus Haas, Frank Beekmann

OpRisk-Regulierung der Banken nach Basel III

2019

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Literaturverzeichnis S. 185-194

„… «) – Neuausrichtung (RTF-Leitfaden) vom 24.05.2018 Basel Committee on Banking Supervision (1997): Core Principles for …” „… Effective Banking Supervision, Basel, September 1997 Basel Committee on Banking Supervision (2003): Sound …” „… Practices for the Management and Supervision of Operational Risk, Basel, Februar 2003 Basel Committee on …”

Stichwortverzeichnis S. 195-196

„… , 123 ff., 168 Core Principles for Effective Banking Supervision 24 Cyber Crime 165 ff. Cyber-Risiko …”

1 Von Basel I bis Basel III: Spezifische bankaufsichtliche Vorgaben zum operationellen Risiko auf dem Vormarsch S. 13-64

„… Effective Banking Supervision, dass die international tätigen Institute ihr »Operational Risk« geeignet …” „… Effective Banking Supervision durch die Deutsche Bundesbank aus dem Jahr 1997 wurde »Operational Risk« noch …” „… Supervision of Operational Risk«.29 Die diesbezüglichen Anforderungen an das OpRisk-Management wurden als …”

4 Besondere Anforderungen an Unterrisiken des operationellen Risikos S. 115-148

„… Financial Market Infrastructures (CROE) veröffentlicht. 151 Vgl. Basel Committee on Banking Supervision …”

doi.org/10.34156/9783791043951

Ralf Hannemann, Ira Steinbrecher, Thomas Weigl - Mindestanforderungen an das Risikomanagement (MaRisk)

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Ralf Hannemann, Ira Steinbrecher, Thomas Weigl

Mindestanforderungen an das Risikomanagement (MaRisk)

2019

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Literaturverzeichnis S. 1887-1932

„… , Stuttgart, 2008, S.1–27. Basel Committee on Banking Supervision, Cyber-resilience: Range of practices, BCBS …” „… d454, 4.Dezember 2018. Basel Committee on Banking Supervision, Stress testing principles, BCBS d450 …” „… , 17. Oktober 2018. Basel Committee on Banking Supervision, Progress in adopting the principles for …”

BTR 4 Operationelle Risiken S. 1517-1560

„… Banking Supervision, Sound Practices – Implications of fintech developments for banks and bank supervisors …” „… , BCBS d431, 19.Februar 2018, S.24 ff. 3 Vgl. Basel Committee on Banking Supervision, Cyber-resilience …” „… : Range of practices, BCBS d454, 4.Dezember 2018, S.6. 4 Basel Committee on Banking Supervision …”

BTR 3 Liquiditätsrisiken S. 1363-1516

„… 2006, S.1, Fußnote 1; Basel Committee on Banking Supervision, Principles for Sound Liquidity Risk …” „… Management and Supervision, BCBS 144, 25.September 2008, S.1, Fußnote 2; Committee of European Banking …” „… Banking Supervision, Basel III: International framework for liquidity risk measurement, standards and …”

BTR Anforderungen an die Risikosteuerungs- und -controllingprozesse S. 1223-1247

„… - und -controllingprozesse 2 Vgl. Basel Committee on Banking Supervision, The internal audit function in …” „… banks, BCBS 223, 28.Juni 2012, S.12f; Basel Committee on Banking Supervision, Guidelines – Corporate …” „… Risikosteuerungs- und -controllingprozesse 16 Vgl. Basel Committee on Banking Supervision, Sound Practices for the …”

AT 4 Allgemeine Anforderungen an das Risikomanagement S. 221-711

„… Risikomanagement 1 Vgl. Basel Committee on Banking Supervision, Guidelines – Corporate governance principles for …” „… Allgemeine Anforderungen an das Risikomanagement 3 Vgl. Basel Committee on Banking Supervision, Guidelines …” „… Framework, 18. November 2013, S.3; Basel Committee on Banking Supervision, Guidelines – Corporate governance …”

BTR 2 Marktpreisrisiken S. 1291-1362

„… Committee on Banking Supervision, Guidelines for computing capital for incremental risk in the trading book …” „… dem Prüfstand, in: BaFinJournal, Ausgabe August 2011, S.14–19; Basel Committee on Banking Supervision …” „… Supervision, Minimum capital requirements for market risk, Standards, 14. Januar 2016; Basel Committee on …”

BT 1 Besondere Anforderungen an das interne Kontrollsystem S. 946-952

„… Committee on Banking Supervision, Fundamental review of the trading book, Consultative document, 3.Mai 2012 …” „… ; Basel Committee on Banking Supervision, Minimum capital requirements for market risk, Standards, 14 …” „… . Januar 2016; Basel Committee on Banking Supervision, Consultative document – Revisions to the minimum …”

AT 7 Ressourcen S. 733-785

„… Committee on Banking Supervision, Guidelines – Corporate governance principles for banks, BCBS d328, 8.Juli …” „… 2015, S.12, 25 und 31 f.; Basel Committee on Banking Supervision, Working Paper No. 24, Liquidity …” „… /2017/11, 21. März 2018, S.42 und 47 f.; Basel Committee on Banking Supervision, Stress testing principles …”

BT 3 Anforderungen an die Risikoberichterstattung S. 1617-1672

„… an die Risikoberichte 17 Vgl. Basel Committee on Banking Supervision, Stress testing principles …” „… .5 und 13. 19 Vgl. Basel Committee on Banking Supervision, Guidelines – Corporate governance …” „… testing, EBA/GL/2018/04, 19. Juli 2018, S. 24. 26 Vgl. Basel Committee on Banking Supervision, Guidelines …”

AT 8 Anpassungsprozesse S. 786-826

„… grow, Press release, 13.November 2000, S.3. 2 Vgl. Basel Committee on Banking Supervision, Risk …” „… Management Guidelines for Derivatives, Juli 1994, S.4f.; Basel Committee on Banking Supervision, Principles …” „… , 18.Dezember 2008. 7 Vgl. Basel Committee on Banking Supervision, Guidelines – Corporate governance …”

Teil I S. 1-86

„… Baseler Ausschuss für Bankenaufsicht (Basel Committee on Banking Supervision, BCBS) setzt rechtlich nicht …” „… Politikgebieten abstimmen. Vgl. www.bundesregierung.de. 20 Basel Committee on Banking Supervision, International …” „… Supervision, International convergence of capital measurement and capital standards (Basel I), Juli 1988. 22 …”

Titelei/Inhaltsverzeichnis

„… (Basel Committee on Banking Supervision, BCBS) zu Liquiditätsrisiken und Risikokonzentrationen sowie zu …” „… Auflage 5 Basel Committee on Banking Supervision, Basel III: A global regulatory framework for more …” „… resilient banks and banking systems, 16.Dezember 2010; Basel Committee on Banking Supervision, Basel III …”

AT 1 Vorbemerkung S. 90-136

„… Bankenrichtlinie, 91 AT 1 Vorbemerkung 1 Basel Committee on Banking Supervision, International Convergence of …” „… ; Basel Committee on Banking Supervision, Principles for enhancing corporate governance, BCBS 176, 4 …” „… , EBA/GL/2017/11, 21. März 2018, S.12 f. 40 Vgl. Basel Committee on Banking Supervision, Principles for …”

BTR 1 Adressenausfallrisiken S. 1248-1290

„… Banking Supervision, Stress testing principles, Consultative document, 20. Dezember 2017, S.16 f. Rahmen …” „… . Basel Committee on Banking Supervision, Principles for the Management of Credit Risk, BCBS 75, 27 …” „… 2011, S.8. 46 Vgl. Basel Committee on Banking Supervision, Principles for the Management of Credit Risk …”

Anlage 13: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Erster Entwurf zur Neufassung der MaRisk Übermittlungsschreiben vom 16. Februar 2009 S. 1720-1723

„… Ausschusses (»Principles for Sound Liquidity Risk Management and Supervision« vom September 2008 …”

AT 3 Gesamtverantwortung der Geschäftsleitung S. 193-220

„… Supervision, Guidelines – Corporate governance principles for banks, BCBS d328, 8.Juli 2015, S. 10. 17 Vgl …” „… . Basel Committee on Banking Supervision, Guidelines – Corporate governance principles for banks, BCBS d …” „… Supervision, Guidelines – Corporate governance principles for banks, BCBS d328, 8.Juli 2015, S. 30. 2.8.4 …”

Anlage 2: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) Erster Entwurf der Mindestanforderungen an das Risikomanagement (MaRisk) Übermittlungsschreiben vom 2. Februar 2005 S. 1678-1682

„… Practices for the Management and Supervision of Operational Risk«). Im Rahmen der Integration entsprechender …”

AT 2 Anwendungsbereich S. 137-192

„… Drittstaat ansässig ist – nach Art.25 EMIR anerkannt wurde. 16 Vgl. Basel Committee on Banking Supervision …” „… Vgl. Basel Committee on Banking Supervision, Basel III: A global regulatory framework for more …” „… Risiken 159 AT 2.2 Risiken 8 Vgl. Basel Committee on Banking Supervision, Guidelines – Corporate …”

BT 2 Besondere Anforderungen an die Ausgestaltung der Internen Revision S. 1561-1616

„… Anforderungen an die Interne Revision 4 Basel Committee on Banking Supervision, The internal audit function in …” „… banks, BCBS 223, 28.Juni 2012. 5 Vgl. Basel Committee on Banking Supervision, Guidelines – Corporate …” „… governance principles for banks, BCBS d328, 8.Juli 2015, S. 32. 6 Vgl. Basel Committee on Banking Supervision …”

BTO 2 Handelsgeschäft S. 1161-1222

„… Supervision, Fundamental review of the trading book, Consultative document, 3.Mai 2012; Basel Committee on …” „… Banking Supervision, Minimum capital requirements for market risk, Standards, 14. Januar 2016; Basel …” „… Committee on Banking Supervision, Consultative document – Revisions to the minimum capital requirements for …”

AT 5 Organisationsrichtlinien S. 712-726

„… ; Basel Committee on Banking Supervision, Guidelines – Corporate governance principles for banks, BCBS d …”

AT 9 Auslagerung S. 827-945

„… Supervision, BCBS), Internationale Vereinigung der Versicherungsaufsichtsbehörden (International Association …” „… on Insurance Supervision, IAIS) und Internationale Organisation der Wertpapieraufsichtsbehörden …” „… Säule zu erfolgen hat. Vgl. Basel Committee on Banking Supervision, Principles for the Sound Management …”

BTO 1 Kreditgeschäft S. 992-1160

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