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
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
P_Basel3 -> quarterly;
C_Basel3 -> semi-annually
6 weeks
Swiss Financial Market Supervisory Authority (FINMA)