Archive for May, 2008

ABX Home Equity indices sliding again

5 comments Written on May 31st, 2008 by
Categories: Crisis2008
The ABX HE indices, which basically shows prices at which home asset backed securities are quoting, are sliding downwards again.

This is the ABX-HE-AAA-07-2 index - approximates prices of AAA rated securities against home mortgages, sold in the second half of 07.

This is AAA, and quoting at 54 cents to the dollar. The subprime indices of nearly all of the last two year mortgages are quoting at less than 10 cents. All the values are at or near all time lows, and the slide is apparent in the last week or so.

The first set of dips was noted in July 07, and in Nov 07 I wrote about it. Heck I was scared of a fall to the 83 levels at that time - today it's literally lost 40% more.

In Feb the next serious dip happened, and soon, Bear Stearns was bust.

Since then we've had the fed reducing rates, some recovery, a fall again, further reduction by the fed, providing more and more liquidity, and even allowing such AAA securities to be pawned to the fed in exchange for money.

The Fed rate is at all time lows, and still, foreclosures stay very high - and home prices are going south.

Is this the beginning of the third wave? Should we prepare for more bad news? How do we get impacted in India? Let's wait for it to unravel. The answer is always apparent in the price first, and then in the news.

Know any blogs on Investing or Trading in India?

23 comments Written on May 31st, 2008 by
Categories: Uncategorized
I am planning a post or series reviewing some investing and trading blogs in India. If you know any blogs I should be looking at, please let me know.

There have been a number of more blogs on investing, though many seem to lose steam after the first few months. Do let me know those that stand out.

The Hunt For Leveraged Players

No Comments » Written on May 31st, 2008 by
Categories: Commentary
From John Mauldin's newsletter:
The Commodity Futures Trading Commission announced yesterday that they are looking very hard at possibly closing a regulatory loophole that allowed some extremely large commodity index funds to get around position limits. For those not familiar with the concept of limits, it basically works like this. No trader or fund is allowed to own more than a specific amount of a commodity traded on the futures exchange. This limit varies from commodity to commodity and exchange to exchange. The point is to keep one group from manipulating the price of a commodity, as the Hunts did with silver in the early 80s.

The loophole is one where large investment banks can sell a “swap” for a specific commodity like corn and then hedge their position in the futures markets. There is no limit on the amount of the commodity that can be hedged. So, a fund can accumulate sizeable positions far in excess of what they could do directly by working with an investment bank.

In essence, the swap is a derivative issued by a bank which acts just like a futures trade, but it is with the bank as guarantor and not an exchange. Swaps are not regulated as such. And up until now, the banks were seen as legitimate hedgers so there were no limits on what they could buy in the futures markets.

...

Right now the banks are classified as hedgers and as such have no limits. But they are not really hedging the actual physical commodity as a farmer or General Mills might do, but the hedge is their financial position.

If the CFTC decides to look through them to the funds, and they did use the word transparency in their announcement, they could decide to change the classification of the banks from hedgers to speculators.

So the thing is:
  • Traders and Hedge funds have limits on how much they can buy (or short).
  • Banks don't.
  • Banks help traders who want to trade above their limits, by selling them "swaps" on the underlying future.
  • And for the trade, they create a position in the commodity markets. Technically this is a hedge against the swap, but in the market it is an open position. (there's no squared off trade in the market)
  • This loophole can't be plugged unless the exchange decides that swaps cannot be issued other than on the exchange, or that banks also get limits.
  • If they do this a lot of traders, banks and funds will have to get out and unwind their trades. This is certain to cause volatility in the commodity markets.
Why have trading limits at all? Because of counterparty risk and attempts to corner a market by controlling a large part of it. So this is a loophole to get around trading limits, and the problem now is not controlling a large part, but a payment crisis if the market goes opposite (downwards) to the direction of maximum interest. The payment crisis can be:

a) market goes down

b) exchange asks banks to put down more margin

c) banks ask hedge funds to pay extra margin against swap

d) hedge funds says sorry boss, no more money here

e) banks panic and sell whatever positions they had against the swaps

f) prices fall, and some banks have to pay out of their pockets

g) if positions are ultra large, some banks run out of money

Setting limits on banks may help but what if banks choose to have no positions on the exchange at all? Then the bank needn't be afraid of exchange limits - only it's counterparty risk increases - but heck the fees are so lucrative, it might as well be worth it (especially if they find a party on the other side of the swap). So do a swap on the long side of a commodity to one trader or fund, and on the short side to another, and bypass the exchange entirely.

This will obviously result in too much of a gamble, one hedge fund or another will go bust, the bank will be left holding the bag, and eventually some bank will go bust if the move is strong downwards. But unless regulation is set up to regulate swaps, this cannot be avoided.

Is a similar thing happening in India with P-Notes? P-Notes, like swaps, are derivative instruments (ODIs or Offshore Derivative Instruments in SEBI Parlance) that are not traded on an exchange. People abroad buy these notes from an FII, against positions set up in India.

FIIs have position limits on Indian exchanges. But what if they have gone and done more transactions on P-Notes themselves, bypassing the Indian exchanges? Like, against one block of say 1cr. worth Reliance stock, they issue and trade p-notes worth 5 crores? Eventually if the system unwinds on sharp market moves, the unwinding of the notes can result in a crisis at the FII end, and in turn in the Indian markets.

SEBI, I think, has planned to figure this out by issuing a new circular. They ask all FIIs to provide details of how much amount of P-Notes they have issued in comparison with their total assets. That will give them an idea if there is an overleveraged situation.

FIIs have been selling huge values on the exchanges. I don't know if it's a response to this circular (the sales were happening even before this was issued, but that doesn't say much) This can become very interesting. Let's see how it goes.

Zoho helps get an IPL Simulator Online

No Comments » Written on May 29th, 2008 by
Categories: Commentary
In an article on NDTV, Amit Varma (of India Uncut fame) writes about how the new cricket craze, IPL (Indian Premier League) can be absolutely random.

I'd written a quick spreadsheet for him, as a random IPL simulator. If the games are purely luck you should see random results - but even in seemingly random results there are patterns, some of which make you think one team is stronger than the other.

Here's the sheet:

(full link here)

The folks at Zoho are excellent. The spreadsheet didn't work as well as it should've, and I mailed them - a quick response from them that they were looking into it and in a couple days they'd figured it out. For a free service, this is fantastic. Later I even had a good chat with Ramesh from Zoho support about the IPL and the Chennai Kings making it to the semis (Zoho's origins are in Chennai).

Zoho is going places. No doubt about that. If they were public, I'd buy the stock right now. All the best to them.

With the IPL, may the best team win. Like Alexander the great would ask his generals before a battle, "Are you feeling lucky today?".

New NHAI bonds for Capital Gains Exemption

5 comments Written on May 29th, 2008 by
Categories: Commentary
Samarth Modi, who I've been having an email conversation with over all things investing, let me know recently that there were no capital gains exemption bonds available. You are allowed (under section 53EC) to park your taxable long term capital gains in certain government issued bonds to avoid the tax. Other than stocks and equity mutual funds, all other asset investments are taxed at 20% long term capital gains tax.

The only two bonds you can invest in are issued by Rural Electrification Corporation (REC) and National Highways Authority of India (NHAI). These bonds are locked in for three years and carry interest rates of around 5-6%. (The interest, though, is taxable) Too little, you say? You're saving 20% on cap gains tax now, which is more than the amount you lose on the interest.

Anyhow, Samarth found in May that there were no more bonds available. Both REC and NHAI had closed their offers of 2007-08, and hadn't opened new ones. He found that around May 26, NHAI started the next series of bonds, and posted me a mail - so here you go:

NHAI's 2008-09 bond issue is now open.

All kinds of long term capital gains can be parked here - i.e. real estate, gold, debt funds etc.

Creating Automated Trading Systems

26 comments Written on May 26th, 2008 by
Categories: Commentary, TradingSystems
As a geek and a trader, I've always been fascinated by the thought of "automated trading". The idea is to have algorithms recognise patterns in stock market data, and automatically take on positions when something is favourable. But this is not just random pattern recognition - the whole area of technical analysis is a science that goes back 200 years (or some crazy number, basically it existed before I was born. And before you were born)

So the idea is that you first create a hypothesis. The hypothesis can be something simple ("Stocks go up in April") to something complex ("A positive slope ADX with DI+ greater than DI-, combined with a reversing slower acceleration parabolic SAR switchover has a positive expectancy"). If you think the second one is a joke, think again - a number of traders use it.

The hypothesis can then be tested using historical data, automatically, by a computer program. The concept is simple - start with some equity at some past date. With the data on that date, would you take the position? If so, allocate the equity appropriately, reducing brokerage and other transaction costs. Also deal with "slippage" - a difference between noted price and what you will actually get (effect of a moving market).

Then go to the next available date, and consider your options again. Would you get out of your current position? (a "stop-loss" or "book-profit") Would you reverse and short? (for systems that go both ways) Would you take on a fresh position?

All these are trading rules.

Consider also: Position sizing. How much do you allocate per trade? At what point does it make sense to get out on a portfolio level? Say you allocate maximum 2% risk per position - meaning for a 10 lakh portfolio the stop loss per position is Rs. 20,000 regardless of other considerations.

Some of these rules come together as "money management" rules.

The results of a historical back-test will show:

  • Is the system profitable? Obviously you should be net positive over a reasonably long period. But in the interim smaller periods can be net negative - a system that is profitable over a year, could lose money on a monthly basis but have one big month that makes it work. (Such systems should be handled with care)
  • What's the maximum drawdown? A system will have a drawdown - the highest peak-to-trough difference. This is an indication of the highest percentage you could have lost had you entered at a different point.
  • Number of trades, no. of wins and losses, and average win and loss. Important figures to find out probabilities.
  • Expectancy: This is mathematically (No. of wins)x(average win) - (No. of losses)x(average loss(). If this figure is negative, the system isn't quite working for you. But this figure is only relevant for a very large number of trades - don't bother about this below 40-50 trades.
Once we have a back tested system, we have to analyse what works well and what does not. A system with phenomenal profitability - like 500% or something - is unrealistic , so you should be skeptical. Lots of things can make good results, but be a bad system in reality. Firstly, bad data - not all data available is representative of a real world - for example a few weeks ago, NSE reports that Reliance opened at Rs. 3,000 and that was the high of the day. The problem is it could be one trade of 1 share at this price, but if that makes your system look good, you are going to be in trouble when you really implement it. So discard such odd data points.

Second, you can overfit the system to past data. Let's say the system was "Stocks go up in April". That didn't work. SO you said, ok let's do "Stocks go up in May". That doesn't work either. So you add more rules like "April of every year which is an even number, but ignoring April 15, 16 and 17, unless one of them is a weekend, in which case you don't take April 10, 11 and 12". This may give you a phenomenal result tested in the past 10 years, but you have an overfit system - it is very unlikely to work in the future.

Once you have a system you like - I will talk about how to choose a system in a different post - you can then "paper trade" it. Meaning, run it and take the next few signals on some "virtual" money, and see if it works over a good period (of say 40-50 trades).

And if both the back test and paper-trade yield good results, you can start putting real money behind the calls. Remember you should continue to backtest as you move forward to see if the market scenario changes results dramatically.

If we were able to identify, back-test and paper trade systems, then can we set up a computer to trade some money automatically? This saves us time and effort to have to keep watching tickers - and instead, focus on building better systems. In theory this is possible but most brokers in India are loath to provide API access to their systems. There could be regulatory hassles to this too.

But my geekiness has prevailed and I think it's possible to do - create a system, paper trade it and convert it to auto-trade. I have built two such systems, but what I will do is to take a simple system in another post and demonstrate how a system can be built, tested and paper-traded.

This is an exciting field - very old in the U.S. but extremely worthwhile in India to investigate. Even if one avoids technicals, a system based on "news" and "fundamentals" can be build - the code required for it is not dramatically different.

This, both Kaushik and I think, is the future of the stock markets in India. In the U.S. nearly 30% of volumes come from automated systems. It's time this happens in India - not just will volumes increase, but more discipline will be maintained as computers can be made to follow rules strictly.

Let's look at this some more in subsequent posts, but tell me - what do you think?

I want to be an investment banker

2 comments Written on May 26th, 2008 by
Categories: Commentary
I really do. This has got be a better job than anything else I've ever done.

Why Subprime Phase 3

12 comments Written on May 24th, 2008 by
Categories: Commentary, Subprime
Before I start my theory about Subprime Phase 3, I want to clarify one thing. Everything I mention here is a short term opinion on where things are going. That means a) I don't think this situation will spell doom forever, just that we seem to be starting on a crisis and b) by using the word "opinion" I am weaselling out of being wrong by simply stating, "Maybe not also".

So why this drama now? We already have had two bad shocks, is there a need for a third?

Yes, of course. The shocks need to hurt a lot more than they have. I believe the world has done a lot of financial fine-tuning which will hurt a lot when it unwinds.

Return of the home mortgage problem

Some of you will say it never went away. And you will be right. Foreclosures in the US are at record levels, home inventories are at record levels, commercial real estate is in the dumps, and worse, the highest loan resets are coming up in the next two months.

Citi is aggressively selling whatever it can in other countries - India and Germany I have heard of. Freddie Mac is hiding assets so they don't have to disclose real prices - and indeed, there may be no real prices at all, as no one is currently willing to buy. JP Morgan and a number of banks are firing to keep costs at bay.

Asset backed indices are showing signs of crumbling again (but too early to say). As foreclosures and defaults increase, cities and counties are seeing lower tax revenues and one of them, Vallejo filed for bankruptcy recently. More to follow surely.

Note that this is not just subprime. Subprime reflects the quality of borrower's credit, and referred to the lowest strata. Now the crisis is well spread out with even rich people and companies defaulting. This next edition of the crisis will be a "we are all subprime now" edition, to quote a famous blog.

Bank Failures At least 150 banks will fail in the U.S. in the next two years, says Marketwatch. I suppose this is inevitable, as more and more banks get caught in a spiralling mortgage crisis, which has blown up to become a lending crisis in general.

Commercial real estate is down, home prices are down, lending is tightened due to much more stringent checks, savings rate was never much anyway etc. This is a sign for aggressive banks to tone down - but most small banks can't, because their cost of funds is high and they have to leverage big in order to even make costs.

Indian banks too are going to be in trouble. With the moral hazard associated with a 72k cr. bailout of agri-borrowers, which agri-borrower will ever want to pay. They'll say - "My neighbour didn't pay his loan and got away. If I don't pay a couple years, I'll also get away". The resentment in that is extreme and will hit way too many banks.

At the retail end, loans are in bad shape. ICICI recently bundled personal loan and vehicle loan portfolios and sold them - either as ABS or as portfolios to Arcil. Other banks are surely doing the same, and it's very likely that the loans are at extremely low prices due to default rates rising. NPAs are increasing dramatically. Also credit standards have been tightened (try to apply for a home loan today), and fee income has dramatically reduced after the derivatives fiasco. CRR increases have reduced leverage capabilities (only a little, but still). With interest rates likely to increase if inflation stays this way, bond prices that banks hold will reduce, and hit their treasury and trading income. Lending is down, deposit rates are high but where do you put the funds, NPAs are increasing, treasury is hit - something will give, and some banks will show the white flag.

Politics

If what's required is tightening the Congress isn't going to be up for it. They already forced SBI to withdraw a circular that halted agri-equipment credit (the bank was facing 17% defaults, the moral hazard effect). They've balked at increasing fuel prices as it hurts their voter base. They don't want to raise interest rates anymore as again, voters take loans. They won't use the forex reserves to any good. They won't even take a hit on taxes to ease prices. They will ban futures trading even if it does not help anything. They don't want to do anything that might actually help the economy in order to be in a good position for the elections next year.

This is stupid, because in the process they will create a crisis of epic proportions which, if they get re-voted to power, they have to live with. But the lure of another 4 years of power is too much, I guess.

The U.S. is in a similar situation. They won't draw on oil reserves despite this price. They will sign a bill that sues OPEC. (Come on now) They will not reduce subsidies for corn farmers in the ill-framed ethanol policy. (India has a crisis of this sort coming up this year)

The refusal of the powers-that-are to take steps to keep the economy stable will hurt us tremendously.

Oil prices that need to break

We are in the end-game of oil prices. Everyone's predicting it will go up. Everyone's waiting and watching a 10% rise practically every week now! Already, funds in the US have the highest ever allocation to commodities and literally everyone is talking about prices going straight up. $200 in a year, $150 next month and so on.

This is the final build up. Anyone who is short crude oil now is probably hurting like crazy. It's only when the last big short is taken out of business, is when the slide will begin (no downside protection!). That may come when oil is $150, or $200, or wherever, but the question is now at what rate, but when.

But the rise of oil in the interim will precipitate the crisis. As more people get on the platform to "hedge", others will exit stocks and bonds that lose value in a rising inflation, rising interest rate scenario. The crisis will hurt asset prices a lot in the coming few months, which in turn will hurt the crisis. (or help the crisis, depending on how you look at it)

Carry trade unwinding

Earlier this year, the US Dollar briefly went below 100 Yen, a sign of carry trade weakness. (Borrow in yen really cheap, and invest in dollars, which doesn't work if the yen appreciates) Now with an oil crisis and a subprime crisis, the US authorities will have to "appear" like they are doing something, like printing more currency or protecting banks or even trying to lower rates some more or some such.

This will weaken the dollar against the yen. May not be against the Euro because the Euro economies will try to do the same thing. Japan has a different set of problems and can't react like this. Effectively I believe the U.S. dollar will go down against the yen, and destroy whatever is left of the carry trade - and there is far more than you and I are aware of.

Ok. Enough.

That's it for now. These were reasons why I believe there will be a crisis coming up soon, in the next two months.

Now for why I only think one or two months. First, oil is heading down by the end of the year. Second, this crisis will kill a lot of the weak players, and some strong ones, meaning they won't need further protection. Third, most of the political damage will be evident by then, and steps are likely to be taken to reverse them, like India driving the rupee up and so on. This will stem inflation. Then we'll have a period of "nothingness" when nothing seems to happen, some scam may emerge, some financial stuff will make news and then die, and so on. This crisis will hurt much more than the last two, and after it, will keep things down but stable. Sorta like communism - everyone is equally poor.

And in the longer term the U.S. will see a problem of deflation and then rapid inflation - that will be Phase 4 of this crisis. It's a little bit like the 70s, and they will find another Volcker. India is likely to emerge stronger after a few years, unless we have a stupid sort of political coalition again, like with the left parties.

So that's me off the soapbox. I could be absolutely wrong and this may turn out to be the beginning of the biggest economy run ever. In which case, I'm happy to eat my words. (The advantage of writing on the internet is that I can swallow air and say I've eaten my words. Bwahaha.)

Disclosure: Do not trade this in the stock markets. Even if I was 100% right, there is absolutely no way to predict when, at what level, to what level, how etc. So please don't take anything I say and try to take advantage before anything happens. DO NOT predict. React.