Name of
Institution:
BANK OF TANZANIA
GROUP SURVEY QUESTIONNAIRE
Bank or Financial
Respondent:
Email:
Telephone:
“Affiliate” means a company that directly or indirectly controls, or is under common control
with, a bank or financial institution.
Associate companies" means two or more companies linked directly or indirectly through any of
the following means ownership, control or power to vote, of twenty per cent or more of the
issued and outstanding voting shares; common officer or directorship; common shareholding of
ten per cent or more of the issued and outstanding voting shares of the companies; management
contract or any arrangement granting power to a bank or financial institution to direct or cause
the direction of the management and policies of another company; permanent proxy or voting
trust in favour of a company involving ten per cent or more of the issued and outstanding voting
shares of another company; companies with cross-guarantee; and direct commercial
interdependency, which cannot be substituted in the short-term.
"Subsidiary" means a company whose more than fifty percent of its total issued and outstanding
voting is directly or indirectly owned, controlled by another company called the parent company;
QUESTIONS
1. Does the bank or financial institution have any equity investment in any
company?
YES
NO
2. If yes, please provide the following details:
Name of company
Business line (Banking,
Insurance, Investment
Services,
Others(specify))
Percent of company’s
total shares held by the
bank or financial
institution.
1
2
3
4
3. Please indicate if any of the companies listed in 2 above are subject to
supervision by the Capital Markets and Securities Authority (CMSA), the
Tanzania Insurance Regulatory Authority (TIRA), or a financial supervisory
authority in any other country:
Company
Supervisory Authority
1
2
3
4
4. Please provide a diagrammatic presentation of the relationship between the
bank or financial institution and its shareholders. Indicate the relationship of
the bank shareholders and subsidiaries, associates and affiliates clearly
indicating the shareholding relationship, the nature of the business
undertaken by each entity.
5. With regards to question 4 above list down the financial supervisory authority
to which any shareholders, affiliates or associates are subject (please use a
separate paper)
Company
Supervisory Authority
1
2
3
4
6. Please identify companies in which any director, or individual holding more
than five percent of the shares of the bank or financial institution, has a
shareholding of more than five percent or is an officer or director of the
company.
Director / Shareholder
Company
Percentage
shareholding
1
2
7. Does the bank or financial institutions have a subsidiary, associate, branch
or representative office in any other country?
YES
NO
i. If yes to 7 above, please provide the following information:
Country
Indicate
subsidiary/associate
/
branch/representati
ve office
If a subsidiary or
associate,
percent
ownership held
If a subsidiary or associate, value
of the investment
1
2
3
4
ii. If yes to 7 above, indicate kinds of reports received by the
parent and the frequency of such reports
Kind of reports received by the parent from the subsidiary/associate/ branch/representative
office and the frequency of such reports
Report/information Frequency
iii. If yes to 7 above, indicate the individuals or committees of the
parent bank to whom the senior officers of the foreign subsidiary,
associate, branch or representative office report
Country
Indicate
subsidiary/associate/
branch/representative
office
Parent bank individuals and/or committees with
oversight responsibilities
1
2
3
8. If the bank or financial institution is a subsidiary of a foreign bank:
i. Please provide the name of the parent bank; ________________and its
home country supervisor________________________.
ii. Has the bank or financial institution been inspected
within the last 3 years by home country supervisor of
the parent bank?
YES
NO
iii. If yes, to ii above, please provide the date: _____________________
iv. Is the financial institution required to submit any information to the home
YES
NO
country supervisor of the parent bank either directly or through the
parent bank?
v. If yes to iv above, please indicate the nature of the report or
information, and the frequency provided.
Report/Information
Frequency
1
2
3
4
vi. Other than the Board of Directors, to whom does the Chief Executive
Officer report ?
Individual/Committee
1
2
3
Reported by:
Signature:
……………………….……….
Position: ………………………………..
Date: …………………………………..
Parent bank or other group
affiliation