Banking Business Prudential Rules 2014 (BANK)

On 1 January 2021, BANK will be amended by QFCRA Rules 2020-2. To see how BANK will look on 1 January 2021, click here to view PDF Version and here for Word version.

Click here to view earlier versions of Banking Business Prudential Rules 2014 (BANK).

Banking Business Prudential Rules 2014 (BANK)
BANK Chapter 1:
General
BANK Part 1.1 Preliminary
BANK Part 1.2 Principles relating to banking business
BANK Part 1.3 Banking business firms
BANK Chapter 2:
Prudential reporting requirements
BANK 2.1.1 Introduction
BANK 2.1.2 Information about financial group
BANK 2.1.3 Financial group and prudential risk
BANK 2.1.4 Preparing returns
BANK 2.1.5 Giving information
BANK 2.1.6 Accounts and statements to use international standards
BANK 2.1.7 Signing returns
BANK 2.1.8 Firm to notify authority
BANK Chapter 3:
Capital adequacy
BANK Part 3.1 General
BANK Part 3.2 Initial and ongoing capital requirements
BANK Part 3.3 Capital buffers and other requirements
BANK Part 3.4 Leverage ratio
BANK Chapter 4:
Credit risk
BANK Part 4.1 General
BANK Part 4.2 Credit risk management policy
BANK Part 4.3 Credit risk assessment
BANK Part 4.4 Risk-weighted assets approach
BANK Part 4.5 Credit risk mitigation
BANK Part 4.6 Securitisation and re-securitisation
BANK Part 4.7 Provisioning
BANK Part 4.8 Transactions with related parties
BANK Chapter 5:
Concentration risk and large exposures
BANK Part 5.1 General
BANK Part 5.2 Concentration risk
BANK Part 5.3 Large exposures
BANK Part 5.4 Powers of Regulatory Authority
BANK Chapter 6:
Market risk
BANK Part 6.1.General
BANK Part 6.2 Foreign exchange risk
BANK Part 6.3 Written options risk
BANK Part 6.4 Commodities risk
BANK Part 6.5 Traded equity position risk
BANK Part 6.6 Traded interest rate risk
BANK Chapter 7:
Operational risk
BANK 7.1.1 Introduction
BANK 7.1.2 Role of governing body — operational risk
BANK 7.1.3 Policies — business continuity
BANK 7.1.4 Policies — information infrastructure
BANK 7.1.5 Policies — outsourcing
BANK 7.1.6 Powers of Regulatory Authority
BANK 7.1.7 Basic indicator approach
BANK Chapter 8:
Interest rate risk in the banking book
BANK 8.1.1 Introduction
BANK 8.1.2 Interest rate risk in the banking book
BANK 8.1.3 Requirement — interest rate risk in the banking book
BANK 8.1.4 Role of governing body — interest rate risk in the banking book
BANK 8.1.5 Policies — management of interest rate risk in the banking book
BANK 8.1.6 Assumptions and adjustments
BANK 8.1.7 Floating-rate exposures
BANK 8.1.8 New products and activities
BANK 8.1.9 Stress-testing and interest rate risk in the banking book
BANK 8.1.10 Duty to notify authority of decline in value
BANK 8.1.11 Relation to internal capital adequacy assessment
BANK Chapter 9:
Liquidity risk
BANK Part 9.1 Liquidity risk management — introductory
BANK Part 9.2 Liquidity risk management — firms' obligations in detail
BANK Part 9.3 Liquidity coverage ratio — liquidity risk group A banking business firms
BANK Part 9.4 Minimum liquidity ratio — liquidity risk group B banking business firms
BANK Part 9.5 Net stable funding ratio — liquidity risk group A banking business firms
BANK Part 9.6 Net stable funding ratio — liquidity risk group B banking business firms
BANK Part 9.7 Limits on net cumulative maturity mismatch
BANK Part 9.8 Monitoring
BANK Chapter 9:
Liquidity risk [Deleted]
BANK 9.1.1 Introduction [Deleted]
BANK 9.1.2 Liquidity risk tolerance [Deleted]
BANK 9.1.3 Requirements — managing liquidity and withstanding liquidity stress [Deleted]
BANK 9.1.4 Notification about liquidity concerns [Deleted]
BANK 9.1.5 Role of governing body — liquidity risk [Deleted]
BANK 9.1.6 Policies — liquidity risk environment [Deleted]
BANK 9.1.7 Funding strategy [Deleted]
BANK 9.1.8 Contingency funding plan [Deleted]
BANK 9.1.9 Stress-testing and liquidity risk tolerance [Deleted]
BANK 9.1.10 Relation to internal capital adequacy assessment [Deleted]
BANK 9.1.11 Firms that conduct foreign currency business [Deleted]
BANK 9.1.12 Management of encumbered assets [Deleted]
BANK 9.1.13 Consequences of breaches and changes [Deleted]
BANK 9.1.14 Liquidity coverage ratio [Deleted]
BANK 9.1.15 Net stable funding ratio [Deleted]
BANK Chapter 10:
Group risk
BANK Part 10.1 General
BANK Part 10.2 Group capital requirement and resources
BANK Chapter 11:
Islamic financial managers - [Deleted]
BANK Part 11.1 Unrestricted PSIA managers - [Deleted]
BANK Part 11.2 Other Islamic financial managers - [Deleted]
BANK Part 11.3 Displaced commercial risk, equity investment risk and rate of return risk - [Deleted]
BANK Chapter 12:
Collateral and customer mandates for investment dealers
BANK Part 12.1 Collateral
BANK Part 12.2 Customer mandates
BANK Chapter 13:
Transitional
BANK 13.1.1 Definitions for Chapter 13
BANK 13.1.2 Authorised firms to remain authorised
BANK 13.1.3 Modifications and waivers
BANK 13.1.4 Powers of Regulatory Authority not diminished
Recognised exchanges
BANK Glossary

 

 

Amended by QFCRA RM/2017-2 (as from 1st April 2017).