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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.

Document

Document Reference

Date of Issue

Statement of principles – bank registration and supervision (PDF 333KB)

BS1

December 2011

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

BS2

October 2010

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

BS2A

October 2010

Capital adequacy framework (internal models based approach) (PDF 930KB)

BS2B

June 2011

Application for status as a registered bank: Material to be provided to the Reserve Bank (PDF 90KB)

BS3

March 2011

Audit obligations (PDF 68KB)

BS4

March 2011

Guidelines on Anti-Money Laundering and Countering Financing of Terrorism (PDF 45KB)

BS5

February 2009

Market risk guidance notes (PDF 285KB)

BS6

March 2011

Registered bank disclosure regime – overview of Orders in Council and related documents (PDF 48KB)

BS7

December 2011

Registered bank disclosure regime – explanatory information on Orders in Council (PDF 79KB)

BS7A

March 2011

Connected Exposures Policy (PDF 55KB)

BS8

June 2011

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

Review of Suitability of Bank Directors and Senior Managers (PDF 62KB)

BS10

March 2011

Outsourcing Policy (PDF 45KB)

BS11

January 2006

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

BS12

December 2007

Liquidity Policy (PDF 196KB)

BS13

March 2011

Liquidity Policy Annex: Liquid Assets (PDF 182KB)

BS13A

December 2011

Corporate Governance (PDF 95KB)

BS14

March 2011

Significant Acquisitions Policy (PDF 129KB)

BS15

December 2011

Orders in Council (disclosure requirements)



Registered Bank Disclosure Statements (New Zealand Incorporated Registered Banks) Order (No 4) 2011 (PDF 588KB)

Local OIC

December 2011

Registered Bank Disclosure Statements (Overseas Incorporated Registered Banks) Order (No 4) 2011 (PDF 356KB)

Branch OIC

December 2011

NZ Gazette of 4 November 2011.



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.