Survey documents

Capital adequacy reporting form in the context of Basel III

Name of survey
P_Basel3, C_Basel3
P_xxx, C_xxx
- eligible and required capital;
- credit risks;
- market risks;
- operational risks;
- unsettled transactions;
Type of survey
Full sample survey
Reporting institutions
Capital adequacy reporting on a single entity basis:
All banks and securities dealers, as defined by the Banking Act of 8 November 1934 and the Stock Exchange Act of 24 March 1995, with the exception of branches of foreign banks and securities dealers. The Liechtenstein banks are excluded from this reporting.

Capital adequacy reporting on a consolidated basis:
The proprietary companies of financial groups or of financial conglomerates dominated by banks or security traders, which are subject to group and conglomerate supervision by FINMA, are required to report data, and in this context are required to comply with capital adequacy reporting regulations on a consolidated basis. Proprietary companies of subsidiary financial groups are also required to report data in accordance with art. 11 Capital Adequacy Ordinance (CAO), unless they have been exempted from this obligation by FINMA.

Depending on the organisation of the finance group or financial conglomerate, a proprietary company may be
- a bank with its head office in Switzerland or
- a securities trader with its head office in Switzerland
- an asset manager, as defined by the Federal Act on Capital Investment Schemes (CISA), with their head office in Switzerland or
- a holding company in accordance with art. 11 para. 1b Banking Ordinance.
Reporting entity
P_Basel3 -> Parent company;
C_Basel3 -> Group
P_Basel3 -> quarterly;
C_Basel3 -> semi-annually
6 weeks
Swiss Financial Market Supervisory Authority (FINMA)