Trading and Capital-Markets Activities Manual
Provides guidance on trading operations and related capital-markets banking activities. Details sound management practices and key examination and review considerations for trading and capital-markets activities. Includes discussions of a wide range of risk management issues encountered in trading and dealer operations, including market risk, counterparty credit risk, legal risk, financial reporting, accounting, and ethics. Profiles thirty-five specific financial instruments commonly encountered in trading and capital-markets-related activities.
Updated semiannually
Last update: January 2009
Manual by Section
Manual Ordering Information (1 KB PDF)
Preface and Table of Contents (15.2 KB PDF)
Section 1000 Examination Policy (36.3 KB PDF)
Section 2000 Trading Activities
Section 3000 Capital-Markets Activities
Section 4000 Instrument Profiles