DTCC - Financial Planning Consultant
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LEGAL & REGULATORY

Important Notices

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Doc # Date Subsidiary Category Subject
  • 13174-20
  • Apr 03, 2020
  • DTC
  • Corporate Trust Services
  • Update on Resumption of DTC Physical Securities Processing
  • 13173-20
  • Apr 03, 2020
  • DTC
  • Operations
  • Update on Resumption of DTC Physical Securities Processing
  • A8835
  • Apr 03, 2020
  • NSCC
  • Executive Notices
  • GOOD FRIDAY HOLIDAY SCHEDULE

SEC Rule Filings

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SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • NSCC-2020-009
  • NSCC

  • To Remove Access to the FundSERV Services by Data Services Only Members in Rule 52 and Revised the Defined Term for FundSERV in the NSCC Rules

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
  • 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
  • Mar 26, 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
  • Mar 26, 2020

Financial Statements

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Subject Description Type Date
  • FICC Q4 2019
  • Financial Statements as of and for the years ended December 31, 2019 and 2018 and for the
    three months ended December 31, 2019 and 2018.
  • .pdf
  • Feb 28, 2020
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