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Federal Reserve Board of Governors

Reporting forms

FFIEC 101

Risk-Based Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework

Description: Reporting Schedules A through S collect information about the components of reporting entities' regulatory capital, risk weighted assets by type of credit risk exposure under the Advanced Internal Ratings-Based Approach, and risk weighted assets and operational losses under the Advanced Measurement Approach.

OMB: 7100-0319

Purpose: The Federal Reserve will use the reported data to assess and monitor the levels and components of each reporting entity's risk-based capital requirements and the adequacy of the entity's capital under the Advanced Capital Adequacy Framework; to evaluate the impact and competitive implications of the Advanced Capital Adequacy Framework on individual reporting entities and on an industry-wide basis; as one input to develop an interagency study at the end of the second transitional floor period as described more fully in the final rule implementing the Advanced Capital Adequacy Framework; and to supplement on-site examination processes. The reporting schedules will also assist reporting entities in understanding expectations around the system development necessary for implementation and validation of the Advanced Capital Adequacy Framework. Submitted data that is released publicly following a reporting entity's parallel run period will also provide other interested parties with information about the entity's risk-based capital.

Background: Schedules A through S represent the reporting requirements associated with the Advanced Capital Adequacy Framework, also known as Basel II. The first reporting period for these schedules for each reporting entity would correspond to the end of the first quarter in which an institution seeking to qualify for the advanced approaches enters its parallel run period. The effective date of the Advanced Capital Adequacy Framework is April 1, 2008.

Respondent Panel: The panel consists of banks and bank holding companies that qualify for and adopt the Advanced Capital Adequacy Framework to determine their risk-based capital requirements or are in the parallel run stage of qualifying to adopt this framework.

Frequency: Quarterly, as of the last calendar day of March, June, September, and December.

Public Release: Microdata would be confidential, except that Schedules A and B and data items 1-2 of Schedule S would be released for a reporting entity for periods subsequent to its parallel run period.

Last Update: May 8, 2008