Supervisory review
An assessment by a supervisor of a firm’s risks, governance and controls, outside or alongside formal examinations.
Overview
Supervisory reviews range from thematic reviews across many firms to continuous monitoring of a single institution. In the EU, the supervisory review and evaluation process (SREP) is an annual example.
It connects most directly to Supervisory expectation, Capital review and Governance review.
Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.
Why it matters
Reviews can produce findings and capital or liquidity requirements without any rule breach.
Who it affects
Banks, insurers and investment firms.
Where it sits
Ten linked steps connect where you operate to the proof that you complied.
- 01Jurisdiction
- 02Industry
- 03Activity
- 04Authority
- 05Regulation
- 06Requirement
- 07Guidance
- 08Control
- 09Evidence
- 10Enforcement
Connections
The terms most closely tied to Supervisory review. Select one to open it.
What to do about it
- 1Keep an always-current readiness snapshot.
- 2Map the supervisor’s manuals and expectations to controls.
- 3Turn every finding into a tracked corrective action.
- 4Prove each action is complete and effective.
From requirement to evidence.
Review findings become obligations with owners and due dates.
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