Legal & Regulatory
Policy & Compliance
This section lists Assessments of Compliance with CPSS-IOSCO as well as forms that relate to the compliance programs established by participants and members.
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.
Assessments of Compliance with the CPSS/IOSCO Recommendations for Securities Settlement Systems and for CCPs
National Securities Clearing Corporation
The following document provides an Assessment of Compliance with the CPSS/IOSCO Recommendations for Central Counterparties:
Fixed Income Clearing Corporation (FICC)
The following document provides an Assessment of Compliance with the CPSS/IOSCO Recommendations for Central Counterparties:
The Depository Trust Company (DTC)
The following document provides an Assessment of Compliance with the CPSS/IOSCO Recommendations for Securities Settlement Systems: