Investment banks assist individuals, corporations and governments in raising capital through underwriting and securities issuance. They also assist with mergers and acquisitions. The Volcker Rule requires separation of investment banking from commercial banking. There are two main types of investment banking: sell-side firms that facilitate securities trading, and buy-side firms that advise on purchasing investments. Brokers arrange securities transactions for a fee, dealers purchase securities to sell for profit, and broker-dealers act as both.
Financial institutions plays a very important role in an economy. There is a positive relationship between financial institution and economic development. Developing countries need to increase the availability of financial institution and financial services to its people.
An investment bank is a financial institution that assists individuals, corporations, and governments in raising financial capital by underwriting or acting as the client's agent in the issuance of securities (or both).
Financial markets and their impact on economyShivkumar Menon
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Corporations often have two types of stocks: common and preferred. There are both advantages and disadvantages to each. Let’s say you have $10,000 to invest in a corporation that issues both common and preferred stock. Your main goal is to maximize the amount of dividends received. Which of the types of stock would you invest in? Explain your answer.
This presentation starts with a short introduction to money and how financial services are a means of facilitating its various functions. Financial Services and Financial Products are discussed in detail with special emphasis on their types, characteristics, marketing and the financial services industry. The presentation ends with an exercise requiring you to visit a web resource and answer the questions that follow.
Financial institutions plays a very important role in an economy. There is a positive relationship between financial institution and economic development. Developing countries need to increase the availability of financial institution and financial services to its people.
An investment bank is a financial institution that assists individuals, corporations, and governments in raising financial capital by underwriting or acting as the client's agent in the issuance of securities (or both).
Financial markets and their impact on economyShivkumar Menon
Financial Markets - This deck captures the movement of Money markets and Capital Markets, its impact on different stakeholders viz. Individuals, businesses, markets and the economy
Corporations often have two types of stocks: common and preferred. There are both advantages and disadvantages to each. Let’s say you have $10,000 to invest in a corporation that issues both common and preferred stock. Your main goal is to maximize the amount of dividends received. Which of the types of stock would you invest in? Explain your answer.
This presentation starts with a short introduction to money and how financial services are a means of facilitating its various functions. Financial Services and Financial Products are discussed in detail with special emphasis on their types, characteristics, marketing and the financial services industry. The presentation ends with an exercise requiring you to visit a web resource and answer the questions that follow.
This slides deals with financial engineering. It is an innovative financial service. it also deals with different financial services rendered by the forex and domestic market.
Financial Markets & Institutions(I need help explaining the follow.pdfANANDCROCKERKOTA
Financial Markets & Institutions
(I need help explaining the following and/or demonstrating it for my upcoming exam if anyone
could help me comprehend the concepts I would greatly appreciate it!!)
Be able to define and apply the concept of “capital”
Define and describe different types of capital markets:
Primary vs. Secondary
Physical vs. Financial
Spot vs. Futures
Public vs. Private
Define and describe different types of financial institutions:
Investment Banks
Commercial Banks
Mutual Funds
Exchange-Traded Funds (ETFs)
Credit Unions
Insurance Companies
Describe how investment banks, mutual funds, and commercial banks act as financial
intermediaries
Describe an initial public offering (IPO) Describe the difference between active and passive
investments
Solution
1. Primary and secondary capital markets: In primary capital market, investors purchase securites
directly from the comapnies issuing securities,whereas in secondary capital market, investors
trade securities among themselves through stock exchange, but company doesn\'t participate in
the transaciton.
Companies which want to sell their securities first time, sells in primary capital market. In many
cases,it takes the form of initial public offerings (IPO)
2. Physical and Financial capital: The term physical capittal aplies for the stock of Buildings,
equipment, instruments, raw materials, semi-finished and finished goods in inventory and other
physical objects used by a firm to produce goods and/or services. Where as financial capital
means resources used to purchase thsoe physical objects, those resources come from savings.
3. Spot Vs Futures markets: Spot market is a public financial market in which financial
instruments are traded for immediate delivery. It contrast with future market in which is due at a
latter date. In spot market, settlement happens in 1 or 2 working days. A spot market may be * an
organised market * an exchange * over the counter (OTC)
4. Public and Prvate Markets: Private markets are teh markets where transactions are worked out
directly between two parties, while public markets are the markets where standardaized contracts
are traded as organized exchanges which requires lot of formal work to enter into a contract.
5. Financial Institutions; A financial institution is aninstitution that provides financial services
for its clients and customers. One of the most important financial services provided by a financai
institution is acting a a financial intermediary. Most financial institutions are regulated by
government.
Financial institutions provide services as intermediaries for financial markets.Brodly speaking,
there are three major types of financial institutions (1) Depositing institutions (2) Contractual
institutions and (3) Investment institutions
6. Commercial banks; A commercial Bank is a type of Bank/Financial institution that provides
services such as accepting deposits, making business loans and offer basic investment products.
The general role of com.
Financial instrument services encompass a broad range of activities that deal with the creation, trading, management, and regulation of financial instruments.
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Securities firm vs. Investment banks (Capital Market)
1.
2. Investment Bank
is a financial institution that assists individuals,
corporations, and governments in raising capital
by underwriting or acting as the client's agent in the
issuance of securities (or both).
it may also assists companies involved in mergers and
acquisitions and provide ancillary services such
as market making, trading of derivatives and equity
securities and FICC services (fixed
income instruments, currencies and commodities).
3. Volcker Rule
asserts full institutional separation of
investment banking services from
commercial banking.
Investment banks do not take deposits
unlike commercial and retail banks.
4. Two Main Lines of Business in
Investment Banking:
1. Sell Side Entity
2. Buy Side Entity
5. 1. Sell Side Entity
trading of securities for cash or for other
securities.
Activities:
Facilitating transactions of trading.
Market-making
Promotion of securities
Underwriting
6. 2. Buy Side Entity
refers to advising institution concerned
with buying investment services.
Common Types of Buy Side Entity:
Private Equity Funds
Life Insurance Companies
Mutual Funds
Hedge Funds
Unit Trust Funds
7. Investment Banks In Philippines
(As of November 19, 2012) JPMorgan Chase
Korea Exchange Bank
Mega International Commercial Bank
MetropoliPhilippinestan Bank and Trust Company
Mizuho Corporate Bank
Philippine National Bank
Philtrust Bank
Rizal Commercial Banking Corporation
Security Bank
Standard Chartered Bank
The Bank of Tokyo-Mitsubishi UFJ, Ltd.
UnionBank of the
United Coconut Planters Bank
8. Allied Bank Corporation
Australia and New Zealand Banking Group
Banco de Oro Universal Bank
Bangkok Bank
Bank of America, N.A.
Bank of China
Bank of the Philippine Islands
China Banking Corporation
Chinatrust Commercial Bank
Citibank
Deutsche Bank AG
East West Bank
Hongkong and Shanghai Banking Corporation
ING Group
9. Securities Firm
A company that facilitates financial market
trades between buyers and sellers for a fee.
Includes firms whose principal lines of business
are in securities brokerage, financial advisory
services, investment banking and/or securities
trading.
10. Securities Firm can be:
a. Brokerage Firm (brokerage)
- a stock broker's business; charges a fee to
act as intermediary between buyer and seller.
b. Bucket Shop
- an unethical or overly aggressive brokerage
firm.
c. Non-depository Financial Institution
- a financial institution that funds their
investment activities from the sale of
securities or insurance.
12. Broker
is an individual or party (brokerage firm) that arranges transactions
between a buyer and a seller for a commission when the deal is
executed.
DUTIES:
Buy and sell stocks, bonds, commodity futures, foreign currencies
and other securities at stock exchanges on behalf of investment
dealers.
Develop trading strategies by reviewing investment information and
monitoring market conditions from the exchange floor and through
contact with trading departments of other investment firms, pension
fund managers and investment company financial analysts.
Make bids and offers to buy and sell securities and complete details
of sales on exchange trade tickets.
Prepare reviews of portfolios' positions.
13. Dealer
is a firm or person that purchases securities and hold them for
later sale at a profit.
one who buy and sell securities his/her own account.
DUTIES:
Performs all the functions of broker including financial
consulting.
Announcing the price of the and other essential of buy-sell
contract of securities.
Announcing the minimum and maximum number of
securities subject to purchase and/or sale.
Discuss the term of announced prices validity.
14. Broker-dealer
a person or firm in the business of
buying and selling securities, operating
as both a broker and a dealer,
depending on the transaction.
engages in the business of trading
securities for its own account or on
behalf of the its customers.