FFIEC 009a Country Exposure Information Report

Draft

FFIEC 009a – Country Exposure
Information Report
Proposed Revisions to the FFIEC 009a
for September 30, 2016

The attached draft revised FFIEC 009a cover page and
draft revised General Instructions section of the
Instructions for the Preparation of the Country Exposure Information Report
reflect the proposed revisions described in the federal banking agencies’
final Paperwork Reduction Act Federal Register notice
published in the Federal Register on July 20, 2016.
The Federal Register notice for these proposed Call Report revisions
is available at http://www.ffiec.gov/forms009_009a.htm.

NOTE: The agencies have not proposed any revisions to Part A or Part B
of the FFIEC 009a reporting form or to the rest of the
Instructions for the Preparation of the Country Exposure Information Report.

Draft as of July 20, 2016

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Board of Governors of the Federal Reserve System OMB Number 7100-0035
Federal Deposit Insurance Corporation
OMB Number 3064-0017
Office of the Comptroller of the Currency
OMB Number 1557-0100
Approval expires
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Federal Financial Institutions Examination Council

Country Exposure Information Report—FFIEC 009a
Report at the close of business
Month / Day / Year

This report is required to be filed pursuant to authority contained
in the following statutes: 12 U.S.C. §§ 161 and 1817 (national
banks), 12 U.S.C. § 1464 (federal savings associations), 12 U.S.
C. §§ 248(a), 1844(c), and 3906 (state member banks and bank
holding companies); 12 U.S.C. §§ 1467a(b)(2) and 5412 (savings
and loan holding companies); 12 U.S.C. 5365(a)
(intermediate holding companies); and 12 U.S.C. §§ 1817
and 1820 (insured state nonmember commercial and savings
banks and insured state savings associations).

All FFIEC 009a respondents must submit their completed report via
the Federal Reserve System’s Reporting Central application within
45 days of the reporting date for March 31, June 30, and September
30, and within 50 calendar days of the December 31 reporting date.
Any FFIEC 009a respondent who needs guidance on Reporting
Central is encouraged to visit the Federal Reserve System website,
http://www.frbservices.org/centralbank/reportingcentral/index.html, for
additional information.

Name, title, and phone number of the person to whom inquiries
regarding this report may be directed:
Reporting Institution

City

State

Name

Title

Area Code / Phone Number

Legal Entity Identifier (LEI) of the Reporting Institution (Report only if the reporting
institution already has an LEI.)

A copy of this report will be made available to the public at http://www.ffiec.gov/e16.htm.
Public reporting burden for this collection of information is estimated to average 6 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, Washington, DC 20503, and
to one of the following: Secretary, Board of Governors of the Federal Reserve System, 20th and C Streets, NW, Washington, DC 20551; Assistant Executive Secretary, Federal Deposit
Insurance Corporation, Washington, DC 20429; and Legislative and Regulatory Analysis Division, Office of the Comptroller of the Currency, Washington, DC 20219.
9/2016

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Instructions for the Preparation of the
Country Exposure Information Report
(FFIEC 009a)
Draft Revised General Instructions
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, excluding the United
States, exceeds one percent of the banking institution’s total assets or exceeds 20 percent of the banking
institution’s total capital, whichever is less. All columns included in Part A should only be completed for
the countries that exceed these thresholds. 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 these 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-9C.
Total capital is as defined in the agencies’ guidelines on capital adequacy and consists of Tier 1 plus
Tier 2 capital.
Public Release of Country Exposure Information Reports
The individual FFIEC 009a reports are made publicly available.
A reporting institution may request confidential treatment for some or all of the portions of the FFIEC
009a if the institution is of the opinion that disclosure of specific commercial or financial information in
the report would likely cause substantial harm to its competitive position. In certain limited
circumstances, the reporting institution’s primary federal supervisor may approve confidential treatment
of some or all of the items for which such treatment has been requested if the institution has clearly
provided a compelling justification for the request. A request for confidential treatment must be
submitted in writing prior to the electronic submission of the report. The written request must identify the
specific items for which confidential treatment is requested, provide justification for the confidential
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treatment requested for the identified items, and demonstrate the specific nature of the harm that would
result from public release of the information. Merely stating that competitive harm would result is not
sufficient. Information for which confidential treatment is requested may subsequently be released by the
reporting institution’s primary federal supervisor in accordance with the terms of 12 CFR 4.16 (OCC), 12
CFR 261.16 (Board), 12 CFR 309.6 (FDIC), or as otherwise provided by law.
Filing of Reports
The report is to be prepared quarterly, as of the last calendar day of March, June, September, and
December. All respondents should submit their completed report, each quarter they meet the reporting
requirements, to the Federal Reserve Bank of New York (FRBNY), via the Federal Reserve System’s
Reporting Central system, within 45 calendar days after the March 31, June 30, and September 30 as-of
date. The submission deadline is 50 calendar days after the December 31 as-of date.
Any FFIEC 009a respondent who needs filing guidance is encouraged to visit the Federal Reserve System
Website http://www.frbservices.org/centralbank/index.html for additional information on Reporting
Central. The Website 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.
Legal Entity Identifier (LEI)
The LEI is a 20-digit alpha-numeric code that uniquely identifies entities that engage in financial
transactions. A reporting institution must provide its LEI on the cover page of this report only if it
already has an LEI. The LEI must be a currently issued, maintained, and valid LEI, not an LEI that has
lapsed. If a reporting institution does not have an LEI, it is not required to obtain one for purposes of
reporting it on this report.

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