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The Banking Supervision Handbook – banking supervision policy documents and regulations

Objective of the handbook

The objective of this handbook is to provide registered banks, their advisers and other interested parties with an understanding of the Reserve Bank’s banking supervision policy framework.

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Recent changes to the Banking Supervision Handbook

Table of contents

All document links are to PDF files.


Section Title

Document Reference

Date of Issue

1.

Statement of principles – bank registration and supervision (PDF 158KB)

BS1

March 2008

2.

Capital adequacy framework (Basel I approach) (PDF 115KB)

BS2

March 2008

3.

Capital adequacy framework (standardised approach) (PDF 358KB)

BS2A

November 2007

4.

Capital adequacy framework (internal models based approach) (PDF 479KB)

BS2B

March 2008

5.

Application for status as a registered bank: Material to be provided to the Reserve Bank (PDF 111KB)

BS3

July 2004

6.

Audit obligations (PDF 35KB)

BS4

March 2008

7.

Money laundering (PDF 24KB)

BS5

August 2003

8.

Market risk guidance notes (PDF 35KB)

BS6

March 2008

9.

Registered bank disclosure regime – overview of Orders in Council and related documents (PDF 22KB)

BS7

April 2008

Registered bank disclosure regime – explanatory information on Orders in Council (PDF 47KB)

BS7A

March 2008

10.

Connected Exposures Policy (PDF 28KB)

BS8

March 2008

11.

Application for consent to acquire or increase significant influence over a registered bank: Material to be provided to the Reserve Bank (PDF 25KB)

BS9

August 2003

12.

Review of Suitability of Bank Directors and Senior Managers (PDF 41KB)

BS10

February 2008

13.

Outsourcing Policy (PDF 45KB)

BS11

January 2006

14.

Guidelines on a Bank’s Internal Capital Adequacy Assessment Process (“ICAAP”) (PDF 49KB)

BS12

December 2007


Orders in Council



NZ Gazette of 27 February 2008 and 27 March 2008



OIC1 Full and Half-year – New Zealand Incorporated Registered Banks Disclosure Order (PDF 535KB) 


March 2008

OIC2 Off-Quarter – New Zealand Incorporated Registered Banks Disclosure Order (as amended) (PDF 299KB)


April 2008

OIC3 Full and Half-Year – Overseas Incorporated Registered Banks Disclosure Order (PDF 200KB)


March 2008

OIC4 Off-Quarter – Overseas Incorporated Registered Banks Disclosure Order (PDF 174KB)


March 2008

OIC4 Off-Quarter – Overseas Incorporated Registered Banks Disclosure Order 2007 (PDF 374KB) (revoked on 30 March 2008, but may be used under a transition provision for disclosure relating to a balance date of 31 March 2008)


March 2007

Contents of the handbook

The handbook contains a number of documents, which explain various aspects of supervision and registration policy. The information in the handbook is updated from time to time.

If you have any queries regarding this handbook, please contact the Records and Administration Officer, Prudential Supervision Department or email rbnz-info@rbnz.govt.nz.

Matters not addressed in the handbook

Registered banks and their advisers are encouraged to make the handbook the first point of reference on specific matters relating to banking supervision. Where a matter is not addressed in the handbook, the matter should be raised with the Bank. In general, the appropriate contact person at the Bank will always be the analyst responsible for the registered bank concerned. Other enquiries should be directed to the Head of Prudential Supervision.