全球银行入账模式 打造成功的体制改革-en-精品.pdfVIP

Global bank booking models Making a success of structural reform Contents Executive summary 2 Booking models and bank structures 5 Through the supervisor’s eyes 5 Resolvability 7 Ring-fencing 8 Business needs – efficiency and simplicity 9 Conclusion 12 Appendix – other regulatory considerations 14 The prudential framework 14 Derivatives regulation 15 Market access 15 Contacts 16 Executive summary This paper is relevant to boards and senior management teams, in particular Chief Financial Officers and Chief Risk Officers, of global banking groups with significant trading businesses. It concerns the models they adopt for booking transactions (“booking models”) and how supervisory developments will affect them. Some developments (such as resolution planning) are common to all banking groups and will have an indirect impact on booking models. Others, such as greater supervisory scrutiny of back-to-back trades or remote booking, will have a more direct impact. It is essential that any analysis of a global banking group’s strategy or business model takes account of the combined effect of regulation on booking models, given the implications for the economics of certain activities and the cost base of the group. 2 International