LEGAL & REGULATORY

Policy & Compliance

Subject Description Type Date
  • DTCC Board Finance/Capital Committee Charter
  • To facilitate the oversight of DTCC’s financial strategy and assess performance against that strategy, the Board of Directors (the “Board”) of DTCC has established a Finance/Capital Committee (the “Committee”).
  • PDF
  • Aug 25, 2014
  • DTCC Board Business and Products Committee Charter
  • To facilitate the oversight of DTCC’s business strategy and assess performance against that strategy, the Board of Directors (the “Board”) of DTCC has established a Businesses and Products Committee (the “Committee”).
  • PDF
  • Aug 25, 2014
  • DTCC Board Risk Committee Charter
  • The ability to identify, manage and mitigate risk is fundamental to the services that The Depository Trust & Clearing Corporation (“DTCC”) provides to its members and to the financial markets generally, and oversight of these activities is a primary activity of the Board of Directors of DTCC (the “Board”).
  • PDF
  • Aug 25, 2014
  • DTCC Board Audit Committee Charter
  • The Board of Directors (the “Board”) of DTCC has established an Audit Committee (the “Committee”) to assist the Board in overseeing: (i) the integrity of DTCC’s financial statements and financial reporting; (ii) the overall effectiveness of DTCC’s internal control environment; (iii) the effectiveness of DTCC’s process for monitoring compliance with applicable laws, regulations and the code of ethics; (iv) the performance and coverage of the internal audit function; (v) the external auditor’s independence, performance and coverage; and (vi) legal, compliance and regulatory risks.
  • PDF
  • Aug 25, 2014
  • DTC - Report of Independent Accountants
  • Management's Statement Regarding Internal Control Over Securities and Related Monies Processed and / or Held for Participants and Others
  • Reports on Internal Controls
  • Oct 28, 2013
  • FICC - Report of Independent Accountants
  • Management's Statement Regarding Internal Control Over Trade Comparison, Netting and Settlement of Products Serviced by GS Division and Trade Comparison and Netting of Products Serviced by MBS Division of Fixed Income Clearing Corporation
  • Reports on Internal Controls
  • Oct 28, 2013
  • NSCC - Report of Independent Accountants
  • Management's Statement Regarding Internal Control Over Trade Comparison, Netting and Settlement of Products Serviced by NSCC
  • Reports on Internal Controls
  • Oct 28, 2013
  • DTCC Board Operations and Technology Committee Charter
  • To facilitate the oversight of the operational and technology capabilities that support DTCC’s business lines, the Board of Directors (the “Board”) of DTCC has established an Operations and Technology Committee (the “Committee”).
  • PDF
  • Jun 03, 2013
  • DTCC Board Compensation / HR Committee Charter
  • The Board of Directors (the “Board”) of DTCC has established a Compensation and Human Resources Committee (the “Committee”) to assist the Board in overseeing DTCC’s human resource programs and management compensation policies and practices, including by (i) recommending the compensation of the Executive Chairman of the Board and the Chief Executive Officer to the Board and approving compensation for certain other officers; (ii) reviewing and approving the structure and design of compensation programs for employees; and (iii) assessing whether the compensation program promotes an appropriate approach to risk management.
  • PDF
  • Apr 02, 2013
  • DTCC Board of Directors Mission Statement and Charter
  • The Board of Directors of The Depository Trust & Clearing Corporation (“DTCC” or the “Corporation”) is responsible for providing direction to and overseeing the conduct of the affairs of the Corporation in the interests of the Corporation, its shareholders and other stakeholders including investors, issuers and participants in the financial markets which DTCC serves.
  • PDF
  • Apr 02, 2012
  • DTCC Board Code of Ethics
  • The DTCC Board Code of Ethics (the “Code”) applies to all Directors of The Depository Trust & Clearing Corporation (“DTCC”) and its U.S. subsidiaries: The Depository Trust Company (“DTC”), National Securities Clearing Corporation (“NSCC”), and the Fixed Income Clearing Corporation (“FICC”) (collectively, the “Corporation”). In this Code, the terms “Board” and “Directors” refer to members of the boards of Directors of the Corporation.
  • PDF
  • Apr 02, 2012
  • DTCC Compensation Risk Disclosure
  • DTCC's compensation program is a market-based pay-for-performance model designed to ensure the organization attracts, retains and rewards the talent needed to achieve its mission
  • PDF
  • Feb 02, 2012
Subject Description Type Date
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