Home / State

Supervisory activities of the State Bank of Vietnam towards Commercial Banks - 21


LIST OF AUTHOR'S WORKS

1. Some discussions on building a modern inspection and supervision system for commercial banks, Banking Magazine , April 2006, State Bank of Vietnam

2. Innovation in remote monitoring activities in the inspection work of the State Bank of Vietnam, Economics and Development Magazine , April 2007, National Economics University

3. Prerequisites for Central Bank supervision based on the 25 basic supervisory principles of the Basel Committee, Banking Magazine , April 2008, State Bank of Vietnam

Maybe you are interested!

4. Part I: Inspection and supervision of commercial banks, Inspection, supervision, control and audit of banks , October 2008, Thanh Nien Publishing House

5. Current status of supervision activities of the State Bank of Vietnam towards commercial banks, Banking Magazine , November 2009, State Bank of Vietnam

Supervisory activities of the State Bank of Vietnam towards Commercial Banks - 21

6. Perfecting the supervision activities of the State Bank of Vietnam towards commercial banks, Banking Magazine , November 2009, State Bank of Vietnam


REFERENCES


English

1. Aslı D., Enrica D., Thierry T. (2008), “Banking on the principles: Compliance with Basel Core Principles and bank soundness”, Journal of Financial Intermediation , 17(4), pp 511-542.

2. Barth JR; Nolle DE; Phumiwasana T.; Yago G. (2003), “A Cross-Country Analysis of the Bank Supervisory Framework and Bank Performance”, Financial Markets, Institutions & Instruments , 12(2), pp. 67-120.

3. Barth, J.R.; Dopico, LG; Nolle, DE; Wilcox, JA (2002), “Bank Safety and Soundness and the Structure of Bank Supervision: A Cross-Country Analysis”, International Review of Finance , 3(3-4), pp. 163-188.

4. Charles M. Kahn, João AC Santos (2005), “Allocating bank regulatory powers: Lender of last resort, deposit insurance and supervision”, European Economic Review , 49(8), pp 2107-2136.

5. Donato M., Marc Q., Michael W. Taylor (2008), “Inside and outside the central bank: Independence and accountability in financial supervision: Trends and determinants”, European Journal of Political Economy , 24(4), pp . 833-848.

6. Friedman, B M. (1999), “The Future of Monetary Policy: The Central Bank as an Army with Only a Signal Corps?” International Finance , 2(3), pp. 321-338 .

7. Friedman, B M. (2000), “Decoupling at the Margin: The Threat to Monetary Policy from the Electronic Revolution in Banking”, International Finance , 3(2), pp. 261.

8. Goodhart CAE (2002), “The Organizational Structure of Banking Supervision”, Economic Notes, 31(1), pp. 1-32


9. Greuning, HB; Brajovic, S. (2000), “The relationship between risk analysis and banking supervision. Analysing banking risk: A framework for assessing corporate governance and financial risk management”, World Bank Review , pp. 251_270

10. Hawkins, J (2001), Electronic finance and monetary policy Workshop on Electronic Finance: a new perspective and challenges , The Bank for International Settlements

11. Heng, M. (2006) Research Note: Financial Market and Roles of Central Bank . U21Global, Singapore

12. Ian Linnell (2001), “A critical review of the new capital adequacy framework paper issued by the Basle Committee on Banking Supervision and its implications for the rating agency industry” , Journal of Banking & Finance, 25(1), pp. 187-196.

13. Ioannidou, V. P. (2005). “Does monetary policy affect the central bank's role in banksupervision?” Journal of Financial Intermediation , 14(1), pp. 58-85.

14. James RB, Gerard CJ, Ross L. (2004), “Bank regulation and supervision: what works best?”, Journal of Financial Intermediation , 13(2), pp. 205-248.

15. Bank for International Settlements (2006), Risk Management and Regulation in Banking: A joint workshop by the Basel Committee on Banking Supervision, the Center for Economic Policy Research (London), and the Journal of Financial Intermediation, Basel Switzerland.

16. Bank for International Settlements (2001), Basel II: A First Assessment: A Joint Workshop Hosted by the Basel Committee on Banking Supervision, the Center for Economic Policy Research, London.

17. Bank for International Settlements (2007), Risk Transfer Mechanisms and Financial Stability: A joint workshop by the Research Task Force of the Basel Committee on Banking Supervision, the Center for Economic Policy Research, London .


18. Mishkin, F. (2004). The Economics of Money, Banking and Financial Markets . Addison Wesley.

19. Peter S. Rose (2001), Commercial Bank Management , McGraw-Hill/Irwin

20. Timothy JC, Gary SF, Carlos DR (2008), “The impact of bank supervision on loan growth” , The North American Journal of Economics and Finance , 19(2), pp. 113-134.

21. Viet Capital Securities (2008), Vietnam Banking System - Reality and Forecast , Vietnam

22. www. bot.org.th., Accessed October 2009


Vietnamese

23. Nguyen Van Binh (2007), “Some challenges for the banking inspection and supervision system in the new situation”, Banking Magazine , (01), Hanoi

24. Government (2003), Decree 52/2003/ND-CP dated May 19, 2003 on specific tasks and powers of the State Bank of Vietnam, Hanoi

25. Government (2006), Decision No. 112/2006/QD_TTg dated May 24, 2006 on promulgating the Project "Development of Vietnam's banking industry to 2010 and orientation to 2020", Hanoi.

26. Bao Viet Securities Company (2008), Banking industry analysis report , (7), Hanoi.

27. Vietnam Development Forum (2009), Proceedings of the Workshop on Capital Financing for Vietnamese Enterprises in the Post-Inflation and Economic Recession Period , Hanoi

28. Vietnam Development Forum (2009), Seminar on supervision activities of the State Bank of Vietnam based on the 25 Basel supervision principles , Hanoi

29. Ernst & Young (2006), Self-assessment report of the Basel Committee's core principles at the State Bank of Vietnam , Hanoi

30. Phan Thi Thu Ha (2004), Commercial Banking Textbook , Statistical Publishing House, Hanoi


31. Nguyen Van Khach (2006), Solutions to innovate the operations of the State Bank of Vietnam in the process of international economic integration , PhD thesis, Banking Academy, Hanoi

32. Nguyen Dai Lai (2006), “Overview of Vietnam’s banking activities in the special historical period 1975-1985. Taking over the bank of the former Saigon Government and serving the economy for 10 years to heal the wounds of war after the liberation of the South”, Banking Magazine , (9), p.6.

33. State Bank (1999), Regulations on remote supervision of credit institutions operating in Vietnam, Decision 398/1999/QD_NHNN3, Hanoi.

34. State Bank (1999), Regulations on organization and operation of Banking Inspectorate, Decree 91/1999/ND-CP , Hanoi

35. State Bank (2000), State Inspectorate directs and guides on organization and inspection operations for Banking Inspectorate, Circular 04/2000/TT_NHNN3 , Hanoi

36. State Bank (2004), Regulations on organization and operation of Banking Inspectorate Decision 1675/2004/QD_NHNN , Hanoi.

37. State Bank (2004), Regulations on organization and operation of the Department of Banks and Non-bank Credit Institutions , Decision 1130/2004/QD_NHNN , Hanoi.

38. State Bank (2004), Regulations on organization and operation of the Monetary Policy Department, Decision 1131/2004/QD_NHNN , Hanoi

39. State Bank (2004), Regulations on organization and operation of the Credit Department, Decision 1153/2004/QD_NHNN, Hanoi

40. State Bank (2005), Regulations on safety ratios in the operations of credit institutions, Decision 457/2005QD-NHNN , Hanoi

41. State Bank (2005), Regulations on debt classification, provisioning and use of reserves to handle credit risks in banking activities of credit institutions, Decision 493/2005/QD-NHNN , Hanoi


42. State Bank (2005), Proceedings of the scientific conference on the development history of the Banking Inspectorate , Hanoi.

43. State Bank (2008), Draft Decree on the organization and operation of banking inspection and supervision agencies , Hanoi

44. State Bank (2008), Regulations on classification of Joint Stock Commercial Banks in Vietnam, Decision 06/2008_NHNN, Hanoi

45. State Bank (2009), Draft Law on Credit Institutions, Hanoi.

46. ​​State Bank (2009), Draft Law on State Bank, Hanoi.

47. State Bank of Vietnam (2005, 2006, 2007, 2008), Report on banking inspection work, Hanoi.

48. State Bank of Vietnam (2006), Workshop on the History of Development and Innovation of Vietnam's Banking Inspection, Hanoi.

49. State Bank of Vietnam (2006), Proceedings of the Workshop on Effective Banking and Financial Supervision System, Hanoi.

50. State Bank of Vietnam (2007), Conference on reforming the State Bank of Vietnam, Hanoi.

51. State Bank of Vietnam (2007), Financial Services Management Workshop, Hanoi

52. State Bank of Vietnam (2007), Solutions for the Vietnamese commercial banking system to approach and apply the system of standards for assessing safe banks according to the Basel agreement, Industry-level research topic, Hanoi

53. State Bank of Vietnam (2008), Summary report on the Law on State Bank and the Law on Credit Institutions, Hanoi

54. Asia Commercial Bank (2009), Vietnam banking industry analysis report, (6), Hanoi

55. State Bank of Vietnam, German Technical Cooperation (2005), Introduction to risk-based banking supervision, Hanoi

56. Truong Van Phuoc (2005), “Central Bank objectives in a market economy”, Banking Magazine , Special issue


57. Hoang Xuan Que (2002), Central Banking Operations Textbook , Statistical Publishing House, Hanoi.

58. National Assembly (1997, 2003), Law on Vietnamese Credit Institutions , Hanoi

59. National Assembly (1997, 2004), Law on the State Bank of Vietnam , Hanoi.

60. Nguyen Huu Tai (1998), Textbook of Monetary and Financial Theory , Statistical Publishing House, Hanoi.

61. Nguyen Ha Thanh (2008), Strengthening supervision of commercial banking activities at the State Bank of Vietnam , Master's thesis, National Economics University, Hanoi

62. Le Duc Thuy (2006), “55-year journey and main orientations for the new development stage of Vietnam's banking industry”, Banking Magazine , (10), Hanoi.

63. Ly Thi Tho (2005), Improving the quality of remote supervision by the State Bank Inspectorate over Vietnamese Credit Institutions , Master's thesis, National Economics University, Hanoi

64. Vu The Vac (2005), “Building the legal status of the State Bank of Vietnam to become a modern central bank”, Banking Magazine , Special issue.

65. Vietnam Language Institute (2003), Vietnamese Dictionary , Hanoi.


APPENDIX

Appendix 1: 25 Principles for Effective Commercial Bank Supervision of the Basel Committee

The Basel Committee on Banking Supervision has established 25 core principles for effective banking supervision. Accordingly, the core principles for effective banking supervision are:

Principle 1 - Functions, mandates, independence, transparency and cooperation: An effective banking supervision system should provide clear responsibilities and objectives for each institution involved in banking supervision. Each institution should be independent in its operations and have adequate resources. An appropriate legal framework for banking supervision is essential, including provisions relating to the licensing of banks; ongoing supervision of banks; the supervisory authority's powers for compliance supervision; safety and soundness requirements; and legal protection for supervisors. Mechanisms should be in place to share information between supervisors and to ensure the confidentiality of supervisory information.

Principle 2 – Scope of Banking Activities: The activities of institutions such as banks should be clearly regulated and closely monitored. The use of the term “Bank” should be controlled as closely as possible.

Principle 3 – Licensing criteria: Licensing authorities should have the authority to set licensing criteria and to refuse to grant a license to institutions that do not meet these criteria. At a minimum, the licensing process should include an assessment of the bank’s ownership structure, the bank’s governance and its extended membership, including the suitability of its board members and management; its development strategy, its operating plan; its internal controls, its risk management and its expected financial conditions, including its capital. If the authorized holder or parent is a foreign bank, prior approval from the supervisory authority in the country of the parent bank or owner is required.

Principle 4 – Substantial Ownership Transfers: Banking supervisors should have the authority to review and reject any proposal to transfer a significant amount of control or ownership, directly or indirectly, of a bank to other parties.

Comment


Agree Privacy Policy *