Federal reserve capital markets examination manual

Trading and Capital-Markets Activities Manual. (Source: The Federal Reserve Board) The following links are provided to the Federal Reserve Board's document titled: "Trading and Capital-Markets Activity Manual" and can be downloaded from their web site. The Subject Index below lists the Table of Contents of the Manual and is in Adobe Acrobat Reader format.  · The Trading and Capital-Markets Activities Manual provides guidance on trading operations and related capital-markets banking activities. Details sound management practices and key examination and review considerations for trading and capital-markets activities. Includes discussions of a wide range of risk management issues encountered in trading and .  · The manual provides instructions to examiners for assessing the adequacy of a bank’s or credit union’s BSA/AML compliance program and its compliance with BSA regulatory requirements. The manual itself does not establish requirements for banks; such requirements are found in statutes and regulations. FFIEC agencies worked closely with Treasury’s .

Market Structure Types of Markets • The primary market • The secondary market (e.g., electronic, over-the-counter (OTC), physical) • The third market • The fourth market Economic Factors The Federal Reserve Board's Impact on Business Activity and Market Stability • Monetary vs. fiscal policy. For example, the Federal Reserve Board of Governors expects large banking organizations with complex compliance profiles to implement firm-wide compliance risk management programs and have a corporate compliance function. SR / CA , Octo. The CFPB will expect no less. The new CDD overview and examination procedures replace the Customer Due Diligence—Overview and Examination Procedures on pages 56 and 59, respectively, of the FFIEC Bank Secrecy Act/Anti-Money Laundering Examination Manual. Further Information. Please direct questions to OCC BSA/AML Compliance Policy at () Grovetta N. Gardineer.

Federal Reserve System Send comments to: Director, Division of Banking Supervision and Regulation Board of Governors of the Federal Reserve System Washington, D.C. Copies of this manual may be obtained from: Publications Services Division of Support Services Board of Governors of the Federal Reserve System Washington, D.C. Risk Management Manual of Examination Policies. Complete Manual - ZIP (10MB) Current Year Updates: November Updates Only - ZIP. July Updates Only - ZIP. April Updates Only - ZIP. February Updates Only - ZIP. Prior Year Updates. The manual provides instructions to examiners for assessing the adequacy of a bank’s or credit union’s BSA/AML compliance program and its compliance with BSA regulatory requirements. The manual itself does not establish requirements for banks; such requirements are found in statutes and regulations. FFIEC agencies worked closely with Treasury’s Financial Crimes Enforcement Network on today’s updates.