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Index
Author’s Acknowledgements
About the Author
Members of the 2014-2016 CTP BOK Committee
Table of Contents
Chapter 6: Capital Markets
Introduction
Overview of Capital Markets
The Basics of Capital Markets
Key Participants in Capital Markets
Division of the Capital Markets
Securities Exchanges and Over-the-Counter (OTC) Markets
Debt Market
Medium- and Long-Term Borrowing
Other Factors in Using Debt as a Source of Capital
Equity (Stock) Securities
Common Stock
Preferred Stock
Hybrid Securities
Depositary Receipts (DRs)
Summary
Appendix 6.1: Listing of the World’s Top 10 Stock Exchanges
Chapter 6: Test Your Understanding
Chapter 6: Answers
Chapter 7: Relationship Management and Vendor Selection
Introduction
Relationship Management
Number of Bank Relationships
Documentation
Performance Measurement and Evaluation
Vendor Selection and the Request for Proposal (RFP) Process
Getting Started
RFP Design
RFP Administration
Bank Compensation Practices
Billing for Bank Services
Value Dating
Account Analysis in the US Commercial Banking System
Comparing and Monitoring Costs among Financial Services Providers
Assessing Service Provider Risk
Assessing Operational Risk for Service Providers
Assessing Financial Services Provider (FSP) Risk
Sovereign and Political Risk
Managing Confidential Information and Conflicts of Interest
Legal and Ethical Issues
Summary
Appendix 7.1: Sample Bank Scorecard
Appendix 7.2: RFP Activity Information
Appendix 7.3: Sample Uniform Bank Performance Report (UBPR)
Chapter 7: Test Your Understanding
Chapter 7: Answers
Chapter 2: Exam Practice (Describe)
Chapter 2: Exam Practice (Differentiate)
Chapter 3: Exam Practice (Describe)
Chapter 3: Exam Practice (Differentiate)
Chapter 4: Exam Practice (Describe)
Chapter 4: Exam Practice (Differentiate)
Chapter 5: Exam Practice (Describe)
Chapter 5: Exam Practice (Differentiate)
Chapter 6: Exam Practice (Describe)
Chapter 6: Exam Practice (Differentiate)
Chapter 7: Exam Practice (Describe)
Chapter 7: Exam Practice (Differentiate)
Chapter 2: Answers for Exam Practice (Describe)
Chapter 2: Answers for Exam Practice (Differentiate)
Chapter 3: Answers for Exam Practice (Describe)
Chapter 3: Answers for Exam Practice (Differentiate)
Chapter 4: Answers for Exam Practice (Describe)
Chapter 4: Answers for Exam Practice (Differentiate)
Chapter 5: Answers for Exam Practice (Describe)
Chapter 5: Answers for Exam Practice (Differentiate)
Chapter 6: Answers for Exam Practice (Describe)
Chapter 6: Answers for Exam Practice (Differentiate)
Chapter 7: Answers for Exam Practice (Describe)
Chapter 7: Answers for Exam Practice (Differentiate)
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