DTCC - Financial Planning Consultant
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LEGAL & REGULATORY

Important Notices

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Doc # Date Subsidiary Category Subject
  • 13693-20
  • Aug 04, 2020
  • DTC
  • Depositary Service Fee, International
  • Depositary Fees Notification
    Oi - Com / Oi-Pref
    CUSIP: 670851500 / 670851401
    Bank of New York Mellon
  • 13691-20
  • Aug 04, 2020
  • DTC
  • Depositary Service Fee, International
  • Depositary Fees Notification
    Security: NOAH HOLDINGS LTD
    CUSIP: 65487X102
    Citibank
  • 13692-20
  • Aug 04, 2020
  • DTC
  • Depositary Service Fee, International
  • Depositary Fees Notification
    Security: LG DISPLAY CO LTD
    CUSIP: 50186V102
    Citibank

SEC Rule Filings

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SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2020-010
  • FICC - MBS

  • Describe Key Components of the Mortgage-Backed Securities Division Stress Testing Program

  • NSCC-2020-804
  • NSCC

  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge

  • NSCC-2020-016
  • NSCC

  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge

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

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
  • 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
  • Mar 26, 2020

Financial Statements

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Subject Description Type Date
  • NSCC Financial Statements Q2 2020
  • Financial Statements as of June 30, 2020 and December 31, 2019 and for the three and six months ended June 30, 2020 and 2019
  • .pdf
  • Jul 31, 2020
  • FICC Financial Statements Q2 2020
  • Financial Statements as of June 30, 2020 and December 31, 2019 and for the three and six months ended June 30, 2020 and 2019
  • .pdf
  • Jul 31, 2020
  • DTC Financial Statements Q2 2020
  • Financial Statements as of June 30, 2020 and December 31, 2019 and for the three and six months ended June 30, 2020 and 2019
  • .pdf
  • Jul 31, 2020
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