January 15, 2019

SNB published Version 1.7 of reporting forms (AUR_U, AUR_UEA, AUR_UES, AURH_U, AUR_K, AUR_KEA, and AURH_K) and the related documentation for supervisory reporting on an individual and consolidated basis. The forms are in accordance with the FINMA Circular 08/14 “Supervisory Reporting Banks.” These forms, which have annual reporting frequency, must be submitted within 60 days of the cut-off date. The forms are valid for reporting from January 01, 2019.

Reporting institutions include all banks and securities dealers pursuant to margin no. 4, FINMA Circular 08/14 for forms AUR_U, AUR_UES, and AURH_U. Reporting institutions for forms AUR_K and AURH_K include financial groups pursuant to margin nos. 5 and 6, FINMA Circular 08/14. For forms AUR_UEA and AUR_KEA reporting institutions include banks and securities dealers according to Chapter II, Section 9 in the Explanatory notes.

Supervisory reporting enables FINMA to operate a rating and analysis system to ensure risk-oriented supervision. Statistical evaluations, such as comparisons of deadlines, time series analyzes, and comparisons between individual banks, securities dealers and financial groups and within peer groups provide FINMA with an overall view of the state and development of the banking system.

 

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Keywords: Europe, Switzerland, Banking, Reporting, FINMA, SNB

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