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Differing Regulatory Schemes II202
CHAPTER 3EXEMPT TRANSACTIONS
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accounting agencies amendments analysis apply appropriate assessment assets bank bank's broker-dealers cash flows CFTC changes Commission commodity-dependent counterparty credit derivatives credit risk derivative instruments derivative security derivatives activities Deutsche Mark effective end-users entities equity example Exchange Act exchange rate exemption fair value Federal financial derivatives financial instruments firms foreign currency forward contract futures contracts hedge hybrid instruments Index institution's institutions interest rate risk internal controls investment investors issued issuer Item limits liquidity loss market risk exposures market risk sensitive ment monitoring NYCE OTC derivatives dealers OTC derivatives markets OTC derivatives transactions oversight paragraph payment policies portfolio positions potential procedures proposed rules pursuant quantitative registrants regulation regulatory reporting risk disclosures risk management risk measurement risk sensitive instruments Section senior management specific standards structured notes swap agreement tion tives trading Treasury underlying value at risk