FFIEC-009A Country Exposure Information Report

Form FFIEC 009a
OMB No.

Board of Governors of the Federal Reserve System
Comptroller of the Currency
Federal Deposit Insurance Corporation

7100–0035 (FRB)
1557–0100 (OCC)
3064–0017 (FDIC)
Approval expires April 30, 2009

Page 1 of 2

Country Exposure Information Report
as of

Reporting Institution

City

State

Name, title, and phone number of bank officer to whom inquiries
regarding this report may be directed:
Name

Title

Area Code/Phone Number

A copy of this report will be released to the public upon request.

This report is required to be filed by national banks, state member
banks, bank holding companies, and insured state nonmember
commercial banks pursuant to authority contained in Section 907 of
12 U.S.C. 3906.
All FFIEC 009a respondents should submit their completed report, via the Federal
Reserve System's Internet Electronic Submission (IESUB) system, within 45 days
of the reporting date. Any FFIEC 009a respondent who needs guidance is encouraged
to visit the Federal Reserve System Web site http://www.reportingandreserves.org/
req.html for additional information on IESUB.
Public reporting burden for this collection of information is estimated to average
5.25 hours per response, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. A Federal agency may not conduct or
sponsor, and an organization (or a person) is not required to respond to a collection
of information, unless it displays a currently valid OMB control number. Comments
concerning the accuracy of this burden estimate and suggestions for reducing this
burden should be directed to the Office of Information and Regulatory Affairs,
Office of Management and Budget, Paperwork Reduction Project (7100–0035),
Washington, D.C. 20503, and to one of the following:
Secretary
Board of Governors of the Federal Reserve System
Washington, D.C. 20551
Legislative and Regulatory Analysis Division
Office of the Comptroller of the Currency
Washington, D.C. 20219
Assistant Executive Secretary
Federal Deposit Insurance Corporation
Washington, D.C. 20429

FFIEC 009a
Page 2 of 2

Country Exposure Information Report
Amounts in millions of dollars

PART A — Information on exposure (as defined for Column 4) to any country that exceeds 1 percent of the reporting institution’s total assets
or 20 percent of its total capital, whichever is less.
Amount of
Amount of
Cross-border
Cross-border
Claims
Claims
Outstanding
Amount of
Outstanding
After Mandated
Net Foreign
from Derivative
Adjustments
Products
Office Claims on
for Transfer
Local Residents after Mandated
of Exposure
(including
Adjustments for
(excluding
derivative
Transfer of
derivative
Exposure
products)
products)

Country

CEX59209

CEXA

Distribution of Amounts in Column 1

By Type of Borrower

By Maturity

Total of
Columns (1)
Plus (2)
Plus (3)

Banks

Public Sector
Entities

Other

One Year
and Under

Over One
Year

5215

4252

4253

4254

5218

5219

5220

5221

5222

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

PART B — Information on exposures (as defined in Part A, Column 4) to any country not listed in Part A, where exposure exceeds
0.75 percent but does not exceed 1 percent of the reporting institution’s assets or is between 15 percent and 20 percent
of its total capital, whichever is less.
Names of countries where exposures meet the reporting criteria stated for Part B

Total amount of exposure to all of the countries listed in Part B

CEXA

5223

$

Statement by management of the reporting institution concerning the information reported above. (OPTIONAL)
(CEXA 5224)

MANAGEMENT'S STATEMENT WILL NOT BE EDITED OR SCREENED BY THE SUPERVISORY AGENCIES, DISCLOSURE OF THE
STATEMENT SHALL NOT SIGNIFY THAT ANY FEDERAL SUPERVISORY AGENCY HAS VERIFIED OR CONFIRMED THE
ACCURACY OF THE INFORMATION CONTAINED THEREIN.

INSTRUCTIONS FOR THE PREPARATION OF THE

Country Exposure Information Report
FFIEC 009a

General Instructions
This report is a supplement to the Country Exposure
Report (Form FFIEC 009) filed with the banking regulatory agencies for bank examination purposes. The purpose of the Country Exposure Information Report is to
provide public disclosure of significant country exposures of U.S. banking institutions. Copies of the report
are available to the public by accessing the following
website http:/www.ffiec.gov/E16.htm.

Who Must Report
This report must be filed by every institution that submits
Form FFIEC 009 and that has exposure meeting the
reporting requirements for Form FFIEC 009a as defined
in these instructions.
This supplemental disclosure report (Form FFIEC 009a)
has two parts: Part A and Part B. Part A will be completed when exposure, as defined for Column 4, Part A,
to a single country exceeds one percent of the banking
institution’s total assets or exceeds 20% of the banking
institution’s total capital, whichever is less. Part B will
be used to report the names of the countries where the
amount of exposure exceeds 0.75 percent but does not
exceed 1 percent of the banking institution’s total assets
or is between 15 percent and 20 percent of the banking
institution’s total capital, whichever is less. The banking
institution must only list the names of the countries and
the aggregate amount of exposure for all countries listed
under Part B. For the purposes of meeting this criteria,
exposure is defined as the amount of total claims computed in accordance with the instructions to Column 4,
Part A.
Total assets of reporting banks are those submitted on the
Report of Condition to the federal bank supervisors as of
the same date. For bank holding companies total assets
are those submitted on the most recent Form FR Y-9.
Instructions for Preparation of Reporting Form FFIEC 009a
March 2006

Total capital is as defined in the agencies’ guidelines on
capital adequacy and consists of Tier 1 plus Tier 2
capital.

Filing of Reports
The report is to be prepared quarterly, as of the end of
March, June, September and December. All respondents
should submit their completed report via the Federal
Reserve System’s Internet Electronic Submission
(IESUB) system, within 45 days of the reporting date.
The Federal Reserve district banks will provide technical
assistance to any respondent who needs guidance creating files for their 009a submission via IESUB. Any
FFIEC 009a respondent who needs guidance is encouraged to visit the Federal Reserve System Web site
http://www.reporting and reserves.org/req.html for additional information on IESUB. The Web site also includes
a link that respondents may use to contact the Federal
Reserve Bank of New York.

Rounding
Round all amounts reported on this form to the nearest
million dollars.

Part A
Country
The countries listed in Part A should be those where
exposure, as defined for Column 4, Part A, exceeds 1
percent of total assets or 20 percent of total capital,
whichever is less. The names of the countries reported
should be as they appear on Form FFIEC 009.
GEN-1

FFIEC 009a

Column 1: Amount of Cross-border Claims
Outstanding After Mandated Adjustments for
Transfer of Exposure (excluding derivative
products)
For each country line reportable on the FFIEC 009a
report, report in Column 1 the sum of Columns 15, 16,
and 17 from Schedule 1 of the FFIEC 009 report:
Column 2: Amount of Net Foreign–Office Claims
on Local Residents (including derivative products)
List the total amount of net foreign–office claims on
local residents. Net foreign–office claims on local residents (including derivative products) after mandated
adjustments for transfer of exposure can be calculated
from the FFIEC 009 report as: Total foreign–office
claims on local residents excluding derivative products
(Columns 18, 19, and 20 from Schedule 1), plus claims
from derivative products (Column 6 from Schedule 2),
less foreign–office liabilities (Columns 1 and 2 from
Schedule 1.a and Column 7 from Schedule 2), if the
difference is positive (do not include if the difference is
negative).
Column 3: Amount of Cross-Border Claims
Outstanding from Derivative Products after
Mandated Adjustments for Transfer of Exposure
List the total amount of cross-border claims from derivative products: From the FFIEC 009 report, Column 4,
Schedule 2.
Column 4: Adjusted Cross-Border and Foreign–
Office Local Country Claims
Total of Column 1 plus Column 2 plus Column 3.
Columns 5 to 9: Distribution of Cross-Border
Claims Outstanding (excluding derivative products)
Columns 5, 6, and 7: Distribute the amounts in Column
1 by type of borrower. The amounts in columns 5, 6, and
7 should equal the amounts in Columns 15, 16, and 17,
respectively, from Schedule 1 of the FFIEC 009 report.
Columns 8 and 9: Distribute the amounts in Column 1

GEN-2

according to time remaining to maturity as defined in
Form FFIEC 009. One Year and Under (Column 8) and
Over One Year (Column 9).
In completing Columns 8 and 9, estimates may be used.

Part B
Provide the name of each country not listed in Part A
where the institution has exposure, as defined for Column 4 of Part A, that exceeds 0.75 percent but does not
exceed 1 percent of the reporting institution’s assets or is
between 15 percent and 20 percent of its total capital,
whichever is less. In the box provided, give the total
amount of exposure to all of the countries listed in
Part B.
Optional Management Statement
Concerning the Country Risk Information
Reported On FFIEC 009a
The management of the reporting institution may, if it
wishes, submit a brief statement concerning the data
submitted on this report. This statement may be used by
management to explain any differences between the
information contained in this report and information filed
with the Securities and Exchange Commission pursuant
to U.S. securities laws, or to provide any other information concerning the data that management believes would
further public understanding of the reporting institutions
country exposure.
All information in the narrative statement must be accurate and not misleading. Appropriate efforts shall be
taken by the filing institution to ensure the statement’s
accuracy.
As this optional statement will be made available to the
public as submitted, institutions choosing to submit it
should ensure that the statement does not contain information that they are not willing to have made public or
that would compromise the privacy of their customers.
The optional statement should be entered in the remarks
section of the IESUB application. Copies of the report
will be provided to the public upon request.

Instructions for Preparation of Reporting Form FFIEC 009a
March 2006