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Capital adequacy reporting form in the context of Basel III (valid to 31.12.2024)

BASEL3
Name of survey

P_Basel3, C_Basel3

Forms

P_xxx, C_xxx

Coverage
  • eligible and required capital
  • credit risks
  • market risks
  • operational risks
  • unsettled transactions
Type of survey

Partial sample survey

Reporting institutions

Single entity basis:
All banks as defined by the Banking Act (SR 952.0), as well as all account-holding securities firms as defined by the Financial Institutions Act (SR 954.1). Branches of foreign banks and branches of foreign securities firms are exempt.

Consolidated basis:
Financial groups or financial conglomerates, as defined by the Banking Act and the Financial Institutions Act, which are subject to group or conglomerate supervision by FINMA and in this context are required to comply with capital adequacy reporting regulations on a consolidated basis.
Subsidiary financial groups are also required to report data in accordance with art. 11 Capital Adequacy Ordinance (SR 952.03), unless they have been exempted from this obligation by FINMA.

Reporting entity

P_Basel3: Parent company;
C_Basel3: Group

Frequency

P_Basel3: Quarterly;
C_Basel3: Semi-annually

Deadline

6 weeks

Participants

Swiss Financial Market Supervisory Authority (FINMA)

Model type

coordinates-based

Delivery formats

XLSX, XML

Special provisions

On 26 June 2024, the Federal Council confirmed the implementation of the revised capital adequacy requirements under Basel III final, effective 1 January 2025, with the first reporting date therefore being 31 March 2025. The previous surveys on capital adequacy reporting under Basel III have thus now been superseded. The surveys for capital adequacy reporting under the final Basel III standards will now be conducted by FINMA. Detailed information on FINMA reporting can be found on the FINMA website.

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