By Instrument

Securities

Debt Capital Markets

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

  • US registration and Safe Harbors
  • retail investor products

Structured Securities

Exchange Traded Securities

Over-The-Counter Transactions

Derivatives

Swaps

ISDA
Non-ISDA

Futures

Spot

Forwards

Securities Financing

Stock Lending

Repurchase Agreements

Commodities Trading

Financial

Physical

Oil and Refined Products
Freight
Energy
  • Coal
  • Power
  • Gas
  • Carbon/Emissions
Metals
  • Base Metals
  • Precious Metals
Agrigultural Commodities

Documentation

Prime Brokerage

(in scope?)

By Asset Class

By Risk

Market Risk

Market Disruption

Gap Risk

Credit Risk

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

Regulations

Investor Protection

Regulations

Capital, Liquidity and Financial Stability

Regulations
Market Making
Netting
Risk Weighted Asset Classification

Clearing

Suitability