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FRAMEWORK FOR INTERNAL CONTROL SYSTEMS IN …

FRAMEWORK . FOR. INTERNAL CONTROL SYSTEMS . IN BANKING ORGANISATIONS. Basle Committee on Banking Supervision Basle September 1998. Risk Management Sub-group of the Basle Committee on Banking Supervision Co-Chairs: Mr. Roger Cole Federal Reserve Board, Washington, Ms. Christine Cumming Federal Reserve Bank of New York Banque Nationale de Belgique, Brussels Mr. Philip Lef vre Commission Bancaire et Financi re, Brussels Mr. Jos Meuleman Office of the Superintendent of Financial Institutions, Ottawa Ms. Aina Liepins Commission Bancaire, Paris Ms.

II. The objectives and role of the internal controls framework 8 III. The major elements of an internal control process A. Management oversight and the control culture 10 1. Board of directors 10 2. Senior management 11 3. Control culture 12 B. Risk recognition and assessment 14 C. Control activities and segregation of duties 15

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