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ECB publishes guide to on-site inspections and internal model investigations

21 September 2018

  • Guide explains how ECB Banking Supervision conducts inspections
  • Publication of guide aims to support supervisory practices and to increase transparency
  • Publication follows completion of public consultation

The European Central Bank (ECB) is today publishing a guide to on-site inspections and internal model investigations. The publication follows the completion of the public consultation.

Inspections are a critical tool for banking supervision worldwide. The objective of the guide, which was drafted in close cooperation with the national competent authorities (NCAs), is to explain how ECB Banking Supervision conducts inspections and to provide a useful document for banks subject to such inspections. Through the publication of the guide, the ECB is enhancing transparency towards the industry.

Banks are inspected in order to provide an in-depth analysis of different risks, internal control systems, business models or governance. Inspections have a pre-defined scope and time frame and take place on the premises of the inspected bank or a related legal entity. Inspections should be intrusive while adhering to the principle of proportionality and aim to provide a detailed snapshot of the situation of a given bank, including a forward-looking analysis. The guide provides an overview of the general framework under which inspections are conducted, describes the different inspection phases, and sets out the principles for inspections to be followed by both banks and inspection teams.

The guide is available on the ECB’s banking supervision website together with a feedback statement explaining how comments received from stakeholders during the public consultation have been taken into account and providing the comments themselves.

For media queries, please contact Nicos Keranis, tel.: +49 69 1344 7806.


Guide to on-site inspections and internal model investigations All public consultation documents

Banca Centrală Europeană

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