DFAST14A_OPSRISK_2023_DRAFT

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DFAST-14A OpsRisk Schedule Cover Sheet
In addition to providing the name, RSSD ID, and charter ID of your institution on this cover sheet, all firms
are expected to complete the following two tabs in this workbook: OpRisk Historical Capital and Annual
Legal Reserves.

Please see the Dodd-Frank Act Stress Testing (DFAST) Reporting Instructions for additional guidance on
completing these worksheets.

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

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 bank’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 covered institution'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.

Year

Total Legal Reserve Balance
$ Balance (Millions)

As-of Q4
Q4 - HY1
Total Legal Reserves:

Q4 - HY2
Q4 - HY3
Q4 - HY4

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)

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

List all material operational risks identified within the firm, the line of business in which each risk appear
Material Risk
Number

Material Operational Risk Name
Material Operational Risks included in the firm's loss projections:
1
2
3
4
5
Material Operational Risks excluded from the firm's loss projections:
1
2
3
4
5

Material Risk Identification

e of business in which each risk appears and the loss projection amount for each risk/risk segment combination. Add additional rows wh
Brief Description of Material Operational Risk

Business Lines(s) or Bank-wide

Add additional rows when necessary.
Loss Estimation
Mehodology(ies)

Bank Baseline Projection Amount - 9 Bank Stress Projection Amount - 9
quarter loss projection
quarter loss projection

Operational Risk Scenarios

Scenario Number
1
2
3
4
5
6
T1
T2

Operational Risk Scenarios
Firm name:

Operational Risk Scenario Name

Percentage of operational loss estimates generated using scenarios
Total number of operational risk scenarios used in loss projections

s

Operational Risk Bank
Baseline 9 Quarter
Projection ($MM)
0
0
0
0
0
0
%
0

Operational Risk Bank
Stress 9 Quarter Projection
($MM)
0
0
0
0
0
0
%
0