FDIC DFAST-14A Ope Operational Risk Template.xlsx

''Annual Stress Test Reporting Template and Documentation for Covered Banks with Total Consolidated Assets of $50 Billion or More under the Dodd-Frank Wall Street Reform and Consumer Protection Act.''

FDIC DFAST-14A Operational Risk Template.xlsx

"Annual Stress Test Reporting Template and Documentation for Covered Banks with Total Consolidated Assets of $50 Billion or More under the Dodd-Frank Wall Street Reform and Consumer Protection Act.''

OMB: 3064-0189

Document [xlsx]
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Overview

OpRisk Cover Sheet
OpRisk Historical Capital
Annual Legal Reserves


Sheet 1: OpRisk Cover Sheet

DFAST-14A Operational Risk Schedule Cover Sheet







Institution Name:










RSSD ID:










Submission Date (MM/DD/YYYY):










CERT:




Sheet 2: OpRisk Historical Capital

Covered Institution Operational Risk Historical Capital Worksheet











Basel II Mandatory or "Opt-In" Firms Only























1. If the covered institution is subject to the advanced approaches risk-based capital rules, the covered institution should fill out this worksheet and provide any supporting information in a separate document, cross-referencing the document to the respective item.

2. The firm should report the covered institution's operational risk capital by unit-of-measure (undiversified basis) from Q4 of the previous year to Q3 of the reporting year. The unit-of-measure is the level at which the covered institution's quantification model generates a separate distribution for estimating potential operational losses (e.g., organizational unit, operational loss event type, risk category, etc.).

3. Baseline scenario only.

































Operational risk capital by covered institution unit-of measure (undiversified) - insert additional rows as necessary)






$Millions

Unit of Measure Q4 2011 Q1 2012 Q2 2012 Q3 2012




















































































































































Totals - - - -












Sheet 3: Annual Legal Reserves












Covered Institution Legal Reserves Reporting Worksheet






















Section 2 - Annual Reporting of Legal Reserves












a. For each year in the chart below, report the total dollar value of the institution’s legal reserve balance, representing the total legal reserve balance that was included on the institution’s financial statements as of September 30. The covered institution’s initial submission should contain annual legal reserve balances from Q3 2008 through Q3 2012.


























Total Legal Reserve Balance







Quarter Year $ Balance (Millions)







Q3 2012








Q3 2011






Total Legal Reserves:
Q3 2010








Q3 2009








Q3 2008






































b. Legal Reserves Pertaining to Repurchase Litigation (Voluntary): For Q3 2012, on a voluntary basis, report the total dollar value of the institution’s legal reserves pertaining to repurchase litigation which was included on the institution’s financial statements as part of the total legal reserve on September 30.


























Total Repurchase Litigation Reserve Balance







Quarter Year $ Balance (Millions)





Voluntary Reporting of Legal Reserves Pertaining to Repurchase Litigation:
Q3 2012
















































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