Legal & Regulatory
Legal & Regulatory
Bylaws, Rules & Procedures
To view the rules and procedures that govern each clearing agency's operations, including information on default procedures or insolvency, please click the View All button.
DTC, FICC and NSCC are registered as clearing agencies with and regulated by the US Securities and Exchange Commission.
Compliance
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. DTCC’s Service Providers, Partners and Third Parties can view the Company Profile, Ownership Statement and learn about our regulators.