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Resources for bankers

Capital Markets

Asset Management
The OCC defines asset management as the business of providing financial products or services to a third party for a fee or commission. The supervision of asset management activities is an important component of the OCC's safety and soundness supervisory framework.

Balance Sheet Management
Balance Sheet Management includes investment securities, BOLl, liquidity risk, and interest rate risk for national banks and federal savings associations, as well as assessing interest rate risk and liquidity risk for the federal banking system as a whole.  

Financial Markets
Financial markets encompass a range of market, product, and price risks for which policies and procedures are developed to help identify, monitor, measure, and control the risks. The Dodd-Frank Act (DFA) legislated numerous product, market, and infrastructure changes in financial markets. For one, the DFA drives new and revised regulation of derivatives markets. Also, the Volcker Rule implements DFA restrictions on proprietary trading and investment in covered funds.


Related News and Issuances
Publish DateIdentifierTitle
11/21/2017  NR 2017-140, Federal Banking Agencies Finalize Extension of Certain Capital Rule Transitions
10/23/2017  OCC 2017-44, Liquidity Coverage Ratio: Interagency Frequently Asked Questions
09/27/2017  NR 2017-112, OCC Reports Second Quarter 2017 Bank Trading Revenue