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An official website of the United States government

Capital Markets

Banks provide services for their consumers including a variety of activities involving 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

10/24/2023 OCC 2023-33 Risk Management: Principles for Climate-Related Financial Risk Management for Large Financial Institutions
09/14/2023 NR 2023-104 OCC Reports Second Quarter 2023 Bank Trading Revenue
07/28/2023 NR 2023-82 Agencies Update Guidance on Liquidity Risks and Contingency Planning