The Risk Assessment Questionnaire For Banks serves as a critical tool for Indian banking institutions to evaluate and document their risk exposure across various operational areas. It is designed to comply with the Reserve Bank of India's regulatory framework and incorporates requirements from multiple banking regulations and guidelines. The questionnaire should be completed periodically, typically annually or upon significant organizational changes, to assess various risk categories including credit, market, operational, and compliance risks. It helps banks maintain regulatory compliance, identify potential vulnerabilities, and establish appropriate risk mitigation strategies. The document is particularly relevant in the context of India's evolving banking landscape, where regulatory scrutiny and risk management requirements continue to become more stringent.
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1. Basic Information: Bank details, branch network, asset size, and other fundamental information
2. Governance Structure: Board composition, risk management committees, reporting lines, and oversight mechanisms
3. Risk Management Framework: Overall risk management approach, policies, and procedures
4. Credit Risk Assessment: Evaluation of credit portfolio, lending practices, and credit risk management systems
5. Market Risk Assessment: Assessment of trading activities, investment portfolio, and market risk management
6. Operational Risk Assessment: Analysis of internal processes, systems, and operational risk management
7. Liquidity Risk Assessment: Evaluation of liquidity management practices and funding strategies
8. Compliance Risk Assessment: Assessment of regulatory compliance mechanisms and procedures
9. Technology Risk Assessment: Evaluation of IT systems, cybersecurity measures, and digital banking risks
10. Internal Controls: Assessment of control mechanisms, audit procedures, and risk monitoring systems
1. Foreign Exchange Operations: For banks with significant forex operations - assessment of foreign exchange risk management
2. Investment Banking Activities: For banks with investment banking services - evaluation of related risks and controls
3. Wealth Management Services: For banks offering wealth management - assessment of associated risks and controls
4. Cross-Border Operations: For banks with international presence - evaluation of country risk and cross-border exposures
5. Digital Banking Services: For banks with significant digital presence - detailed assessment of digital banking risks
6. Treasury Operations: For banks with active treasury operations - specific treasury risk assessment
1. Risk Rating Methodology: Detailed scoring criteria and risk rating framework
2. Regulatory Compliance Checklist: Comprehensive checklist of regulatory requirements and compliance status
3. Risk Metrics and Thresholds: Specific metrics, limits, and thresholds for different risk categories
4. Documentation Requirements: List of required documents and evidence for risk assessment
5. Risk Assessment Tools: Specific tools and templates for risk evaluation
6. Reporting Templates: Standardized formats for risk reporting and documentation
7. Action Plan Template: Format for documenting remedial actions and improvements
8. Regulatory References: List of applicable regulations and guidelines
Relevant legal definitions
Acceptable Risk Level
Asset Quality
Basel Framework
Business Continuity Plan
Capital Adequacy Ratio
Compliance Risk
Credit Risk
Cyber Risk
Data Protection Officer
External Audit
FATF Guidelines
Foreign Exchange Risk
Governance Framework
High-Risk Transaction
Internal Control System
Interest Rate Risk
KYC Requirements
Liquidity Coverage Ratio
Market Risk
Material Risk
Non-Performing Asset
Operational Risk
Priority Sector Lending
Regulatory Reporting
Risk Appetite
Risk Assessment Matrix
Risk Control Self-Assessment
Risk Management Committee
Risk Mitigation
Risk Profile
Risk Rating
Risk Tolerance
Stress Testing
Systemic Risk
Technology Risk
Tier 1 Capital
Treasury Operations
Value at Risk (VaR)
Asset Quality
Basel Framework
Business Continuity Plan
Capital Adequacy Ratio
Compliance Risk
Credit Risk
Cyber Risk
Data Protection Officer
External Audit
FATF Guidelines
Foreign Exchange Risk
Governance Framework
High-Risk Transaction
Internal Control System
Interest Rate Risk
KYC Requirements
Liquidity Coverage Ratio
Market Risk
Material Risk
Non-Performing Asset
Operational Risk
Priority Sector Lending
Regulatory Reporting
Risk Appetite
Risk Assessment Matrix
Risk Control Self-Assessment
Risk Management Committee
Risk Mitigation
Risk Profile
Risk Rating
Risk Tolerance
Stress Testing
Systemic Risk
Technology Risk
Tier 1 Capital
Treasury Operations
Value at Risk (VaR)
Clauses
Risk Governance
Confidentiality
Data Protection
Regulatory Compliance
Credit Risk Management
Market Risk Assessment
Operational Risk Control
Liquidity Risk Management
Technology Risk Assessment
Cybersecurity
Internal Controls
Audit Requirements
Reporting Obligations
Documentation Requirements
Business Continuity
Disaster Recovery
Staff Training and Competency
Customer Due Diligence
Anti-Money Laundering
Treasury Management
Asset Quality Assessment
Capital Adequacy
Stress Testing Requirements
Risk Monitoring
Incident Reporting
External Audit
Board Oversight
Risk Committee Responsibilities
Regulatory Reporting
Policy Implementation
Confidentiality
Data Protection
Regulatory Compliance
Credit Risk Management
Market Risk Assessment
Operational Risk Control
Liquidity Risk Management
Technology Risk Assessment
Cybersecurity
Internal Controls
Audit Requirements
Reporting Obligations
Documentation Requirements
Business Continuity
Disaster Recovery
Staff Training and Competency
Customer Due Diligence
Anti-Money Laundering
Treasury Management
Asset Quality Assessment
Capital Adequacy
Stress Testing Requirements
Risk Monitoring
Incident Reporting
External Audit
Board Oversight
Risk Committee Responsibilities
Regulatory Reporting
Policy Implementation
Relevant Industries
Banking
Financial Services
Insurance
Investment Banking
Asset Management
Wealth Management
Corporate Banking
Retail Banking
Digital Banking
Microfinance
Relevant Teams
Risk Management
Compliance
Internal Audit
Legal
Operations
Treasury
Credit Analysis
Market Risk
Operational Risk
Information Technology
Corporate Governance
Regulatory Affairs
Relevant Roles
Chief Risk Officer
Risk Manager
Compliance Officer
Internal Auditor
Bank Director
Chief Executive Officer
Chief Financial Officer
Operations Manager
Credit Risk Analyst
Market Risk Analyst
Operational Risk Manager
Treasury Manager
Banking Operations Head
Regulatory Compliance Manager
Risk Assessment Specialist
Bank Branch Manager
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