Transcription of Chapter 12 Investment Analysis
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Chapter 12 Investment Analysis
Chapter 12 Investment Analysis TABLE OF CONTENTS Investment Analysis ..12-3 Examination Objectives ..12-3 Associated Risks ..12-3 Overview ..12-3 Examiner Resources ..12-4 Policies ..12-4 Examination Guidance ..12-10 Classification of Securities SFAS 115 ..12-10 Broker-Dealer Analysis ..12-11 Audit ..12-14 Safekeeping ..12-14 Records ..12-17 Investment Valuation ..12-18 Bond Basics ..12-18 Principal ..12-19 Coupon Day Count Basis ..12-20 Accrued Interest ..12-20 Price Quotations ..12-20 Yield Quotations ..12-21 Investment Products ..12-22 US Treasury Securities ..12-22 Treasury Bills ..12-22 Treasury Notes and Bonds ..12-23 Treasury Zeros or STRIPS ..12-23 Other US Guaranteed Securities.
interest rate, credit, and liquidity risk. The investment policy should specify dollar limits for holdings of obligations with similar characteristics (e.g., fixed vs. variable, type of floating rate index, geographical distribution, etc.) Significant concentrations with individual broker-dealers or safekeepers present risk if management has not
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