Derivative

By Instrument

Securities

Debt Capital Markets

• Medium Term Note Programmes
• Stand Alone Eurobond Issuance
• Commercial Paper
  • Euro Commercial Paper Programmes
  • Asset-backed Commercial Paper

Supporting Documentation

• Legal Documents
  • Constituting Instruments
  • Agency Agreements
  • Terms and Conditions
  • Offfering Materials
• Board Authorisation
• Side Letters, Agent Appointments and Dealer Confirmations

Hedging

• Term Funding
• Basis Risk

Offering and Resale

Listing and Prospectus Directive

• Passporting and Home Regulators
• Listing Rules
  • London Stock Exchange
  • Irish Stock Exchange
  • Luxembourg Stock Exchange
  • other Stock Exchanges
• ESMA-sponsored amendments to the Prospectus Directive

Retail Sales

• Retail Distribution
  • Retail Cascades
• Packaged Retail investor Products (PRIPs)
• Key Investor Disclosure document (KID)

US registration

• SEC Registration
• Safe Harbours and Exemptions
  • Regulation S
  • Rule 144A

Structured Securities

• Structured Medium Term Notes
• Repackagings and Securitisation

Exchange Traded Securities

• Exchange-Traded Funds (ETFs)
• Exchange-Traded Notes (ETNs)

Over-The-Counter Transactions

Derivatives

Swaps

ISDA

• ISDA Master Agreement
  • 1992 ISDA
  • 2002 ISDA
• ISDA Credit Support Annex
  • 1995 CSA (title transfer - English Law)
  • 1994 NY CSA (pledge - New York Law)

Non-ISDA

• European Master Agreement
• Domestic European master agreements
  • Deutsche Rahmenvertrag (German Master Agreement)
  • FBF (French Master Agreement)
  • CMOF (Spanish Master Agreement)

Securities Financing

Stock Lending

• Global Master Securities Lending Agreement (GMSLA)
• Master Securities Lending Agreement (MSLA)
• Legacy Stock Lending Agreements

Repurchase Agreements

• Global Master Repurchase Agreement (GMRA)
• Master Repurchase Agreement (MRA)

Commodities Trading

Financial

• Commodity Derivatives
• Futures
• Commdity Indices
• Exchange Traded Commodity Products
  • Exchange-Traded Notes
  • Exchange-Traded Funds

Physical

Energy

• Coal
• Power
• Gas
• Carbon/Emissions

Metals

• Base Metals
• Precious Metals

Commodities Documentation

• ISDA Commodities Definitions
• EFET - European Federation of Energy Traders Master Agreements (Power and Gas)
• IETA - International Emissions Trading Agreement
• SCOTA - Standard Coal Trading Agreement

Prime Brokerage

(in scope?)

By Asset Class

• Equity Derivatives
• Credit Derivatives
• Currency Derivatives
• Interest Rate Derivatives
• Commodity Derivatives

Regulatory Environment

Implications for derivatives and capital markets transactions of regulatory initiatives. This should cross reference where appropriate the Financial Services Module

Supervision and Market Infrastructure

• Dodd Frank
• European Market Infrastructure Regulation (EMIR)

Investor Protection

• MiFID
• Prospecus Directive/PRIPS

Capital, Liquidity and Financial Stability

Regulations

• Capital Requirements Directive (CRD4)
• Basel III

Risk Weighted Asset Classification

• Banking book
• Trading Book