correlation swap

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      A correlation swap is an over-the-counter financial derivative that allows one to speculate on or hedge risks associated with the observed average correlation, of a collection of underlying products, where each product has periodically observable prices, as with a commodity, exchange rate, interest rate, or stock index.


      Payoff Definition


      The fixed leg of a correlation swap pays the notional




      N

      corr




      {\displaystyle N_{\text{corr}}}

      times the agreed strike




      ρ

      strike




      {\displaystyle \rho _{\text{strike}}}

      , while the floating leg pays the realized correlation




      ρ

      realized




      {\displaystyle \rho _{\text{realized }}}

      . The contract value at expiration from the pay-fixed perspective is therefore





      N

      corr


      (

      ρ

      realized




      ρ

      strike


      )


      {\displaystyle N_{\text{corr}}(\rho _{\text{realized}}-\rho _{\text{strike}})}


      Given a set of nonnegative weights




      w

      i




      {\displaystyle w_{i}}

      on



      n


      {\displaystyle n}

      securities, the realized correlation is defined as the weighted average of all pairwise correlation coefficients




      ρ

      i
      ,
      j




      {\displaystyle \rho _{i,j}}

      :





      ρ

      realized


      :=






      i

      j




      w

      i



      w

      j



      ρ

      i
      ,
      j








      i

      j




      w

      i



      w

      j








      {\displaystyle \rho _{\text{realized }}:={\frac {\sum _{i\neq j}{w_{i}w_{j}\rho _{i,j}}}{\sum _{i\neq j}{w_{i}w_{j}}}}}


      Typically




      ρ

      i
      ,
      j




      {\displaystyle \rho _{i,j}}

      would be calculated as the Pearson correlation coefficient between the daily log-returns of assets i and j, possibly under zero-mean assumption.
      Most correlation swaps trade using equal weights, in which case the realized correlation formula simplifies to:





      ρ

      realized


      =


      2

      n
      (
      n

      1
      )






      i
      >
      j




      ρ

      i
      ,
      j





      {\displaystyle \rho _{\text{realized }}={\frac {2}{n(n-1)}}\sum _{i>j}{\rho _{i,j}}}


      The specificity of correlation swaps is somewhat counterintuitive, as the protection buyer pays the fixed, unlike in usual swaps.


      Pricing and valuation


      No industry-standard models yet exist that have stochastic correlation and are arbitrage-free.


      See also


      Variance swap
      Rainbow option


      Sources


      Meissner, Gunter (2014). Correlation risk modeling and management : an applied guide including the Basel III correlation framework-- with interactive models in Excel/VBA. Wiley. p. 11. ISBN 978-1118796900.

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