Debra Gruber, Michele Waldman, Anthony Guglielmo, Edward ...

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Pitfalls � Legal entities matter � TIC Reporting is based on legal entities � This may differ from internal business line controls and measurements � The more complex an institution, the more difficult it is to report by legal entity 8
Pitfalls � TIC Reporting seen as back office process � Not involved in new product development or accounting policy � This can result in misstatements and unintended noncompliance 9
Page 1 and 2: Debra Gruber, Michele Waldman, Anth
Page 3 and 4: Agenda � What are the goals of TI
Page 5 and 6: Purpose of TIC Reports � This res
Page 7: Pitfalls � Static databases � O
Page 11 and 12: Best Practices � Automation � D
Page 13 and 14: Best Practices � Documentation
Page 15 and 16: Overview of TIC Reporting Michele W
Page 17 and 18: Who Do We Collect TIC Data For? �
Page 19 and 20: Where Are TIC Data Published? � D
Page 21 and 22: Where Are TIC Data Published? � B
Page 23 and 24: Information about the Treasury Inte
Page 25 and 26: Each Treasury International Capital
Page 27 and 28: FRBNY Website � The New York Fed
Page 29 and 30: 2006 Series Break Revised TIC B and
Page 31 and 32: Reporting Requirements and Overview
Page 33 and 34: Who Must Report TIC S Report Forms
Page 35 and 36: Consolidation Rules TIC S Filing Re
Page 37 and 38: General Accounting Issues TIC B TIC
Page 39 and 40: Report Series TIC BC Report all U.S
Page 41 and 42: Report Series Exclusions These excl
Page 43 and 44: Report Series TIC BL-1 � Reportab
Page 45 and 46: Report Series TIC BL-2 Report all h
Page 47 and 48: Report Series TIC BL-2 Specific Exc
Page 49 and 50: Report Series TIC BQ-1 Reportable c
Page 51 and 52: Report Series TIC BQ-2 (Part 1) Rep
Page 53 and 54: TIC BQ-2 Report Series Reportable l
Page 55 and 56: Report Series TIC BQ-2 Reportable l
Page 57 and 58: Report Series TIC BQ-2 Specific Exc
Page 59 and 60:
Report Series TIC BQ-3 Reportable L
Page 61 and 62:
Relationship To Other Reports TIC R
Page 63 and 64:
Dates Form (Frequency) As of Date D
Page 65 and 66:
Exemption Levels BC, BL-1, BL-2, BQ
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Exemption Levels REQUIRED TO FILE B
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Data Submission, Review and Retenti
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Internet Data Submission � Intern
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Where To File For all TIC Form Repo
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Retaining Data Records � Record/R
Page 77 and 78:
Definitions � U.S. Resident � I
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Definitions � Foreign Official In
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TIC S Fact Sheets � Provide respo
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Reporting Requirements for U.S.-Res
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Reporting requirements for U.S.-Res
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Reporting Requirements of U.S.-Resi
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101
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Common Reporting Errors � Failure
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Common Reporting Errors � Reporti
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Common Reporting Errors � Reporti
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Common Reporting Errors � Omissio
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Common Reporting Errors � The omi
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� TIC BC Erroneously Common Repor
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TIC B REPORTER LONDON NONBANKING OF
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� TIC BL-2 Erroneously: Common Re
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Common Reporting Errors � TIC BQ-
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Common Reporting Errors � TIC BQ-
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Reports used for Comparison 123
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Reports Used for Comparison � U.S
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How TIC S and TIC SHL(A) Are Used T
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Reports Used for Comparison � U.S
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Differences � There may be more t
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Compare Treasury Securities � SHL
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Compare Negotiable Securities in US
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Compare Negotiable CDs in USD � S
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� SHL Compare General Government
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� SHL Compare Negotiable CDs in F
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Compare - Overview Claims � Negot
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Compare - Overview Claims � New f
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Compare Other Short -Term Negotiabl
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Compare Own Short-Term Securities i
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� TIC SHC Compare Own Short-Term
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� TIC SHC Compare Own Other Short
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� TIC SHC Compare Data by currenc
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Debra Gruber, Michele Waldman, Anthony Guglielmo, Edward ...

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