By Instrument

Securities

Debt Capital Markets

Supporting Documentation

  • Legal Documents
    • Constituting Instruments
    • Agency Agreements
    • Terms and Conditions
    • Offfering Materials
    • ICMA form of Final Terms
  • 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
  • Regulated Stock Exchanges
    • London Stock Exchange
    • Irish Stock Exchange
    • Luxembourg Stock Exchange
    • other Stock Exchanges
  • Non regulated market Stock Exchanges
    • EuroMTF
    • AIM
    • Others
  • ESMA-sponsored amendments to the Prospectus Directive
Selling Restrictions
  • Jurisdictional Selling Restrictions Library
  • Jurisdictional Tax Disclosure
Retail Sales
  • Retail Distribution
    • Retail Cascades
    • Prospectus Consents
  • Packaged Retail investor Products (PRIPs)
  • Key Investor Disclosure document (KID)
US registration
  • SEC Registration
  • Safe Harbours and Exemptions
    • Regulation S
    • Rule 144A

Structured Securities

Exchange Traded Securities

Over-The-Counter Transactions

Derivatives

Swaps

ISDA
Non-ISDA

Spot and Short Term Derivatives

These contracts are not necessarily traded under an ISDA framework but may will be traded according to Exchange rules or financial institutions' "Standard Terms of Business"

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

Commodities Documentation

Prime Brokerage

(in scope?)

By Asset Class

By Risk

Market Risk

Market Disruption

Gap Risk

Credit Risk

Collateral and Credit Support

Collateral
Overview
  • Treasury, Liquidity implications of Collateral posting and recieving
  • Rehypothecation and Client Assets protection
Credit Support Annex
  • 1994 NY Pledge form of CSA
  • 1995 english Law Title Transfer
Eligible Collateral
  • Cash
  • Sovereign Bonds
  • Corporate Bonds
  • Other Assets
    • Letters of Credit
Non-Collateral Credit Support
    • Guarantees
  • "Liens" and Security Interests

Intercreditors and Loan financing

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

Investor Protection

Capital, Liquidity and Financial Stability

Regulations
Market Making
Netting
Risk Weighted Asset Classification

Mandatory Clearing

Suitability