Capital Markets

Asset Management

The OCC defines asset management as the business of providing financial products or services to a third party for a fee or commission. The supervision of asset management activities is an important component of the OCC's safety and soundness supervisory framework.

Balance Sheet Management

Balance Sheet Management includes investment securities, BOLl, liquidity risk, and interest rate risk for national banks and federal savings associations, as well as assessing interest rate risk and liquidity risk for the federal banking system as a whole.

Financial Markets

Financial markets encompass a range of market, product, and price risks for which policies and procedures are developed to help identify, monitor, measure, and control the risks. The Dodd-Frank Act (DFA) legislated numerous product, market, and infrastructure changes in financial markets. For one, the DFA drives new and revised regulation of derivatives markets. Also, the Volcker Rule implements DFA restrictions on proprietary trading and investment in covered funds.

Related News and Issuances

02/10/2021 OCC 2021-7 Libor Transition: Self-Assessment Tool for Banks
12/16/2020 NR 2020-171 OCC Reports Third Quarter 2020 Bank Trading Revenue
11/30/2020 OCC 2020-105 Volcker Rule: Quantitative Measurements