Onsite Control
Risk Analysis & Assessment
The onsite inspection assesses the qualitative risks that cannot be assessed offsite, in accordance with the assessment indicators of each type of the following financial services institutions, namely:
As for the investment funds, their onsite assessment aims at verifying the compliance with the Law of Investment Funds and its Bylaw, as well as the Central Bank Instructions.
Follow-Up of Supervisory Response:-
Follow-up of the treatment of violations
Follow-up of the improvement of the risk structure and the treatment of non-moderate risks
Penalties:-
- Financial penalties
- Other
Special Inspection Tasks:-
They comprise the inspection visits to the financial institutions to verify certain facts or operations.
Risk Assessment Indicators
- Banks:
CRAFTE
- C-Corporate governance
- R-Risk Management
- F-Financial leverage capital-liquidity
- T- Transparency
- E-Earning
- Investment Companies:
CMR
- C-Corporate governance
- M-Market Conduct and trust
- R-Risks and Control
- Financing Companies:
CRAE
- C-Corporate Governance
- R-Risk and controls
- A-Asset Quality
- E-Earnings
- Exchange Houses:
MOCP
- M-Management effectiveness
- O-Operational controls
- C-Compliance
- P-Performance