Capital Markets Resource Center
Regulatory Capital, Asset Liability Management, Investment Portfolio and Derivatives Activities Supervisory Resources
The Division of Risk Management Supervision’s Capital Markets Branch provides the following pages as an informational resource for bankers and other interested parties on a variety of key capital markets issues.
Several topics have new rules and guidance standards, such as new regulatory capital rules that became effective for all banks January 1, 2015, and the Volcker Rule, which generally prohibits banking entities from engaging in proprietary trading and from investing in, sponsoring, or having certain relationships with a hedge fund, private equity fund, or similar fund. The Volcker Rule, derivatives reforms and other subject areas are associated with Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA) reforms.
These resources should give community bankers a centralized toolkit to help them understand new requirements, recent developments and key outstanding rules and guidance. For example, some resources include training videos with presentation slides and helpful “Frequently Asked Questions” documents.
It is important to note that links to international standards and papers issued by the Basel Committee on Banking Supervision are provided for reference. These standards do not represent the domestic rules and regulations, but the U.S. federal banking agencies and at times, other domestic regulators participate in setting these standards and consider them when developing U.S. rules.
The information contained on the Capital Markets Resource Center web pages and its links is not an exhaustive recap of all guidance issued, but should provide community bankers a good basis for understanding existing standards, pending requirements and supervisory expectations.