Compliance at DTCC

Compliance at DTCC encompasses the policies and procedures designed to ensure adherence to regulatory requirements and industry standards, safeguaring the integrity of financial markets while managing risk, and protecting the firm's reputation. The compliance team actively monitors activities, provides guidance and implements training programs to promote a culture of compliance throughout the organization.

Compliance

Code of Conduct

The DTCC Code of Conduct for Employees and Contingent Workers expresses and reinforces our foundational values and demonstrates the commitment of all who work at DTCC to conduct ourselves with the highest integrity. It reinforces DTCC’s reputation as the premier, global financial infrastructure organization with our clients, regulators and other key constituents. Our job is to protect the financial markets from systemic risk, enhance operational efficiency and minimize costs for the industry – and adherence to our Code of Conduct enables us to meet these objectives each and every day.

Anti-Money Laundering

DTCC is firmly committed to preserving the safety and soundness of its operations and protecting its reputation in the global financial community. DTCC also acknowledges its important role in furthering efforts to combat money laundering and terrorist financing. 

In compliance with applicable provisions of the Bank Secrecy Act (BSA) and global requirements, DTCC has established standards that include:

  • Written Anti-Money Laundering (AML) policies and procedures;
  • Observance of a Know Your Customer Program;
  • Operating procedures reasonably designed to meet AML and Global Sanctions screening responsibilities;
  • Investigating and appropriate reporting of suspicious activity;
  • Training; and
  • Independent testing

Further details about DTCC’s compliance with these requirements are provided via the Wolfsberg Anti-Money Laundering Questionnaire: