Chương IV Thông tư 08/2022/TT-NHNN trình tự thủ tục giám sát ngân hàng: Tiếp xúc đối tượng giám sát ngân hàng

Chapter IV

CONTACT WITH BANKING SUPERVISED ENTITIES

Article 18. Forms of contact with a banking supervised entity

Forms of contact with the banking supervised entity include:

1. A request for written explanation.

2. Contact in person.

Article 19. The request for written explanation

1. When detecting inadequate, failed or inappropriate documents, information and data at the request of a micro-prudential supervisor or issues related to the inadequate compliance with regulations of laws, directions and requests of the state competent authority or risks of the banking supervised entity, the banking supervision unit shall send a request or appeal to a Chief Inspector or bank supervisor (applicable to macro-prudential supervision units) to request the banking supervised entity to explain.

2. Based on the time limit for explanation prescribed in the written request for explanation, the banking supervised entity must provide the written explanation including the following contents:

a) Explanation for each specific request, including the analysis of real situation and reasons;

b) Proposal for remedial measures (including the roadmap for implementation thereof) upon the request of the banking supervision unit.

Article 20. Contact in person

1. When documents, information and data that are inadequate, failed, inappropriate or necessary to be clarified are detected at the request of the micro-prudential supervisor or issues related to the inadequate compliance with regulations of laws, directions and requests of the state competent authority or risks of the banking supervised entity are , the banking supervision unit shall make a request or appeal to a Chief Inspector or bank supervisor (applicable to macro-prudential supervision units) to decide the establishment of a working team and contents of the contact with the banking supervised entity.

2. Before contact in person, the banking supervision unit must send a written notification to the banking supervised entity before at least 03 working day; the written notification must clarify participants of the working team, contents, time and location of contact.

3. Results of the contact in person with the banking supervised entity must be recorded in writing according to Appendix I issued together with this Circular and signed to confirm between a representative of the working team and the banking supervised entity.

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