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ICAAP Document: Management Information

ICAAP Documents Contents

What should a firm include in the ICAAP report about the Firm’s Management Information?

Management information and key risk indicators:

Firms, particularly large institutions, are now expected to have a risk reporting framework that complies with the Basel principles.

The regulator will expect that the Board at all firms will receive both risk information and capital updates throughout the year, not just annually.

Firm's should ensure that the quality, quantity and timing of this management information is fit for purpose and that the Board and senior management use it to inform any decisions that may be taken.

For example, even a small Limited Licence firm would need to consider the impact upon their Fixed Overhead Requirement from recruiting new staff or changes in office rent.


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