DTCC - Financial Planning Consultant
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LEGAL & REGULATORY

Important Notices

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Doc # Date Subsidiary Category Subject
  • MBS951-21
  • Jan 20, 2021
  • FICC - MBS
  • Service Updates
  • Real Time Trade Matching Web Application Modernization Initiative Reminder
  • GOV1033-21
  • Jan 20, 2021
  • FICC - GOV
  • Service Updates
  • Approval for Rule Filing SR-FICC-2020-015 and No Objection to Advance Notice Filing SR-FICC-2020-803 – Amendments to Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of GSD’s DVP Service, and Make Other Changes
  • 14541-21
  • Jan 20, 2021
  • DTC
  • Depositary Service Fee
  • Depositary Fees Notification
    Security: HYPERA S.A.
    CUSIP: 44914U106
    Citibank

SEC Rule Filings

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SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice

By-Laws, Rules and Procedures

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DTC, FICC and NSCC are registered as clearing agencies with, and regulated by, the U.S. Securities and Exchange Commission.


To view the rules and procedures that govern each clearing agency's operations, including information on default procedures or insolvency, please click here: By-Laws, Rules and Procedures


(Click here to view: Guides to Fee Schedules)

Issue Eligibility

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Subject Description Type Date
  • Operational Arrangements
  • Operational Arrangements - Necessary for Securities to Become and Remain Eligible for DTC Services
  • Issue Eligibility
  • Jan 13, 2021

Compliance

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Compliance provides oversight and supports DTCC business areas and subsidiaries globally in establishing internal controls to identify, escalate, and manage regulatory compliance risk and facilitate ongoing compliance with laws and regulations.  DTCC holds itself to the highest ethical standards and complies with all applicable laws and regulations in the jurisdictions where it conducts business globally.

This section of DTCC’s website provides useful compliance information for DTCC’s Clients as well as its Service Providers, Partners, and Third Parties.  Outside parties can view DTCC’s Code of Conduct as well as additional information pertaining to Compliance at DTCC. DTCC’s Clients can access information pertaining to Anti-Money Laundering, OFAC Certifications, KYC Requirements and Fines & Waivers information here. DTCC’s Service Providers, Partners and Third Parties can view the Company Profile, Ownership Statement and learn about our regulators here.

Policy and Compliance

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Subject Description Type Date
  • FICC Disclosure Framework
  • The Disclosure Frameworks explain how DTCC’s “Systemically Important Financial Market Utilities” (SIFMUs) reflect the SEC's Covered Clearing Agency Rules and the CPMI-IOSCO FMI Principles.
  • PDF
  • Dec 21, 2020
  • DTC Disclosure Framework
  • The Disclosure Frameworks explain how DTCC’s “Systemically Important Financial Market Utilities” (SIFMUs) reflect the SEC's Covered Clearing Agency Rules and the CPMI-IOSCO FMI Principles.
  • PDF
  • Dec 21, 2020
  • NSCC Disclosure Framework
  • The Disclosure Frameworks explain how DTCC’s “Systemically Important Financial Market Utilities” (SIFMUs) reflect the SEC's Covered Clearing Agency Rules and the CPMI-IOSCO FMI Principles.
  • PDF
  • Dec 21, 2020

Financial Statements

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Subject Description Type Date
  • DTCC Financial Statements Q3 2020
  • Consolidated Financial Statements as of September 30, 2020 and December 31, 2019 and for the three and nine months ended September 30, 2020 and 2019
  • .pdf
  • Nov 06, 2020
  • NSCC Financial Statements Q3 2020
  • Financial Statements as of September 30, 2020 and December 31, 2019 and for the three and nine months ended September 30, 2020 and 2019.
  • .pdf
  • Nov 02, 2020
  • FICC Financial Statements Q3 2020
  • Financial Statements as of September 30, 2020 and December 31, 2019 and for the three and nine months ended September 30, 2020 and 2019.
  • .pdf
  • Nov 02, 2020
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