2015年荐Basel Committee.docVIP

Basel Committeeon Banking Supervision Core Principles for Effective Banking Supervision October 2006 Requests for copies of publications, or for additions/changes to the mailing list, should be sent to: Bank for International Settlements Press Communications CH4002 Basel, Switzerland E-mail: publications@bis.org Fax: +41 61 280 9100 and +41 61 280 8100 ? Bank for International Settlements 2006. All rights reserved. Brief excerpts may be reproduced or translated provided the source is stated. ISBN print: 92-9131-709-8 (print) ISBN web: 92-9197-709-8 (web) Contents Core Principles for Effective Banking Supervision………………………………………………1 Foreword to the review……………………………………………………………………………..1 The Core Principles…………………………………………………………………………………2 Preconditions for effective banking supervision…………………………………………………6 Core Principles for Effective Banking Supervision (The Basel Core Principles) Foreword to the review 1. This document is the revised version of the Core Principles for Effective Banking Supervision, which the Basel Committee on Banking Supervision (the Committee) originally published in September 1997. Along with the Core Principles Methodology, the Core Principles have been used by countries as a benchmark for assessing the quality of their supervisory systems and for identifying future work to be done to achieve a baseline level of sound supervisory practices. Experience has shown that self-assessments of countries’ compliance with the Core Principles have proven helpful for the authorities, in particular in identifying regulatory and supervisory shortcomings and setting priorities for addressing them. The revision of the Basel Core Principles provides an additional reason for countries to conduct such self-assessments. The Core Principles have also been used by the IMF and the World Bank in the context of the Financial Sector Assessment Program to assess countries’ banking supervision systems and practices. Since 199