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DerivativesModule 1 of 2

Derivative Instruments and Markets

5

Concepts

5

Formulas

1

Decisions

3

Quiz Questions

Key Concepts

5 concepts covered in this module.

Forward Contract

OTC agreement to buy/sell asset at predetermined price on future date. Customizable. Counterparty risk. No upfront cost.

Futures Contract

Exchange-traded standardized forward. Daily settlement (mark-to-market). Clearinghouse eliminates counterparty risk.

Swap

Series of forward contracts. Exchange cash flows based on different rates/prices. Most common: interest rate swap (fixed for floating).

Options

Right, not obligation. Call: right to buy. Put: right to sell. Premium paid upfront. European: exercise at expiry only. American: anytime.

OTC vs Exchange-Traded

OTC: customized, counterparty risk, less regulation. ETD: standardized, clearinghouse, margin requirements, transparent.

Formulas

5 essential formulas for this module.

Forward Payoff (Long)

Payoff = ST - F0

Where: ST = spot price at expiry, F0 = forward price

Call Option Payoff

Payoff = max(0, ST - X)

Where: X = strike price

Put Option Payoff

Payoff = max(0, X - ST)

Where: X = strike price

Call Profit

Profit = max(0, ST - X) - Premium

Where: Premium is the cost of the option

Put Profit

Profit = max(0, X - ST) - Premium

Where: Max loss = premium paid

Decision Frameworks

1 decision frameworks to guide your analysis.

Forwards vs Futures?

  • Forwards: customized hedging, specific amount/date, OTC
  • Futures: liquid, standardized, no counterparty risk

Mind Map

Visual overview of how concepts connect in this module.

Derivative Instruments
Forward Commitments
Forwards (OTC, custom)
Futures (exchange, standardized)
Swaps (series of forwards)
Contingent Claims
Call options
Put options
European vs American
Premium = cost
Markets
OTC: custom, counterparty risk
Exchange: standard, clearinghouse
Central clearing

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