Form FR Y-14A FR Y-14A Operational Risk Form

FR Y-14A Schedule E - Operational Risk

Institution Name:
RSSD ID:
Source:
Submission Date (MM/DD/YYYY):

BHC

FR Y-14A Schedule E.1 - BHC Operational Risk Historical Capital

BHC Operational Risk Historical Capital Worksheet
Basel II Mandatory or "Opt-In" Firms Only
BHC Name:
0
RSSD #:
0
Source:
BHC
Submission Date:
1/0/1900

1. If the BHC is subject to the advanced approaches risk-based capital rules (12 CFR part 225, Appendix, G), the BHC should fill out this worksheet and provide any supporting information in a separate document, crossreferencing the document to the respective item.
2. Insert BHC Name, RSSD, Source, and Submission Date in the space provided above.
3. The firm should report the BHC's operational risk capital by unit-of-measure (undiversified basis) from Q4 of the previous year to Q4 of the reporting year. The unit-of-measure is the level at which the BHC's
quantification model generates a separate distribution for estimating potential operational losses (e.g., organizational unit, operational loss event type, risk category, etc.).
4. BHC Baseline scenario only.
Operational risk capital by BHC unit-of measure (undiversified) - Insert additional rows as necessary)
$Millions
Unit of Measure
CAORW918

Totals
*HQ is Historical Quarter and represents the number of quarters prior to the as of quarter that should be reported

HQ3*

HQ2

CAORW919

HQ1

CAORW920

-

As of Quarter

CAORW921

-

CAORW922

-

-

FR Y-14A Schedule E.2 - Legal Reserves Reporting
BHC Legal Reserves Reporting Worksheets
BHC Name:
RSSD:
Source:
Submission Date:

0
0
BHC
1/0/1900

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 for the as-of quarter. The BHC’s
initial submission should contain annual legal reserve balances from Q4 of the as-of reporting quarter as well as Q4 from the prior four years.

Total Legal Reserve Balance
Year

Total Legal Reserves:

$ Balance (Millions)

As-of Q4

CAORW923

Q4 - HY1

CAORW924

Q4 - HY2

CAORW925

Q4 - HY3

CAORW926

Q4 - HY4

CAORW927

*HY = Historical Year

b. Legal Reserves Pertaining to Repurchase Litigation (Voluntary): For the as-of quarter, 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 for the as-of quarter. Also please report the subset of this amount which is related only to contractual Representation and Warranty
(R&W) claims (excluding any amounts set aside for damages, penalties, etc).

Total Repurchase Litigation Reserve Balance
As of Quarter
Voluntary Reporting of Legal Reserves Pertaining to Repurchase Litigation:

Q4

$ Balance (Millions)
CAORW928

Repurchase Litigation Reserve
Balance related only to
contractual R&W claims
$ Balance (Millions)
CAORW929