regard I request you to spend your valuable time in filling this questionnaire (Tick the appropriate box). This information will be used only for academic purpose and will be kept
confidential.
INSTITUTIONAL INFORMATION
1. Name of your bank:
2. Please indicate the name of the contact Name: person for this questionnaire and his/her position in the Bank. 3. To which of the following types of banks does your bank belong?
Position: o Public sector o Private sector o Foreign Bank
4. Where is your parent/head office located? 5. In which area is the branch office located (urban/rural)?
AWARENESS OF REGULATIONS
1. What is your assessment of the bank’s readiness for the new Basel proposals with respect to capital requirements? FULLY PREPARED PARTIALLY PREPARED NOT YET PREPARED
2. Have you done a gap analysis between current risk management practice and new capital requirements as per Basel III requirements? YES NO
3. What degree of priority do you address to the new Basel regulatory framework? VERY IMPORTANT IMPORTANT NOT IMPORTANT
4. How do you view Basel III regulation: as an opportunity to enhance the risk management process, or as a regulatory constraint?
OPPORTUNITY CONSTRAINT
ORGANISTIONAL STRUCTURE
5. Do you have an assigned risk manager in your bank? YES NO
6. To whom does the Risk manager report? CHIEF EXECUTIVE OFFICER CHIEF FINANCIAL OFFICER ASSETS AND LIABLITY MANAGER CREDIT RISK OFFICER OTHER SPECIFY
7. What is the assigned manager’s time dedicated to this activity? Time allocated
RISK MANAGEMENT
0-20% 20-50% >50% 8. How many people work in risk management department? 1 – 3 3 – 5 5- 10
> 10
REPORTING ABILITY
9. Which purpose your report helps in? REGULATORY PURPOSE(1) MONITORING(2) DECISION MAKING PURPOSE(3)
10. Does external reporting drive your internal reporting? VERY SIGNIFICANTLY SIGNIFICANTLY NOT
AT
ALL
SIGNIFICANTLY
11. Does external reporting affect your decision making process? VERY SIGNIFICANTLY SIGNIFICANTLY NOT
AT
ALL
SIGNIFICANTLY
12. How frequent is your internal reporting? Daily Weekly Monthly
Annually
13. Will you produce specific internal reporting for Credit, Market and Operational Risk? YES NO
14. Have you performed a Cost/Benefit analysis for each approach proposed by Basel II? YES NO
BASEL III IMPLEMENTATION
15. Have you estimated the regulatory capital consumption for each of your individual businesses? YES NO
16. Have you established an action plan to achieve the Basel III requirements? YES NO
17. How will you execute this action plan? INTERNAL RESOURCES EXTERNAL RESOURCES BOTH
18. What will the largest spending area be? TECHNOLOGY
COMMUNICATION OTHER (SPECIFY) DON’T KNOW
Other (specify) ______________________________________________________________ 19. How far are you in the implementation of your action plan? CREDIT RISK
MARKET RISK
OPERATIONAL RISK
NOT REALLISED PARTIALLY REALLISED FULLY REALLISED
TECHNOLOGY
20. Does your current IT infrastructure allow you to meet the Basel III requirements? YES NO
21. Will you develop an IT solution for Risk management? YES NO
22. What you foresee as difficulties?
INTEGRATION CAPABILITIES DATABASE DESIGN MODELS BUDGET DATA GATHERING
