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LEGAL & REGULATORY

Policy & Compliance

Subject Description Type Date
  • By-Laws of The Depository Trust & Clearing Corporation (DTCC)
  • DTCC has operating facilities and data centers around the world and, through its subsidiaries, automates, centralizes, and standardizes the post-trade processing of financial transactions for thousands of institutions worldwide.
  • PDF
  • Jan 26, 2016
  • 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, 2015
  • 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, 2015
  • 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, 2015
  • 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
  • Confirmation of an OFAC Program
  • Pursuant to the rules of DTC, NSCC and FICC, participants and members that are subject to the jurisdiction of the United States, as defined under 31 CFR Chapter V and Appendices, are required to execute a Confirmation of an OFAC Program every two years. U.S. participants and members can utilize the following Confirmation of an OFAC Program to satisfy this obligation.

  • PDF
  • Jan 04, 2010
  • OFAC Confirmation Quick Reference Guide
  • The OFAC recertification process is completed through the DTCC Self Service Confirmation System’s OFAC Confirmation application. This guide will lead you through the process.
  • PDF
  • Jan 04, 2010
Subject Description Type Date
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