Regulatory Compliance

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Helping Clients to Meet Regulatory Challenges

Regulatory compliance is a key issue for market participants across the post-trade space. New regulations have led to significant mandates on financial firms while recent geopolitical events continue to create uncertainty.

DTCC works with its clients to help them understand how new and existing regulations, such as those below, can affect their post-trade processes, and offers solutions to address these various challenges.

This is intended to provide general information about the regulatory landscape. It is not intended to be comprehensive nor to provide any specific legal advice and should not be acted or relied upon as doing so. Professional advice appropriate to the specific situation should always be obtained. Information contained here is subject to change without notice.

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Basel III

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CSDR

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Dodd-Frank

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EMIR and REFIT

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FinfraG

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MiFID II

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SFTR

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