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LEGAL & REGULATORY

Important Notices

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Doc # Date Subsidiary Category Subject
  • 14156-20
  • Oct 21, 2020
  • DTC
  • Depositary Service Fee
  • Depositary Fees Notification
    Security: Sanofi
    CUSIP#: 80105N105
    JPMorgan Chase Bank, N.A.
  • 14165-20
  • Oct 21, 2020
  • DTC
  • Agent Services/Trustees, Corporate Actions Service Updates, Distributions, Issuer Services Service Updates, Mandatory Reorganization, Proxy, Settlement, Underwriting, Service Updates, Redemptions, Membership Updates, Underwriting Service Updates, Voluntary Reorganization
  • Participant Browser Service/Settlement Web Certificate Warning Screen
  • 13736-20
  • Oct 21, 2020
  • DTC
  • Tax Relief, Distributions
  • Tax Relief – Country: Italy
    Security: Eni S.p.A. CUSIP(s): 26874RAC2
    Record Date: 03/17/2021 Payable Date: 04/01/2021
    CA Web Instruction Deadline: 03/31/2021 8:00 PM (E.T.)

SEC Rule Filings

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SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2020-012
  • DTC

  • Adopt a New Service Guide to Establish the ClaimConnect Service and Update the Settlement Service Guide

  • NSCC-2020-017
  • NSCC

  • Enhance Insurance & Retirement Services to provide for a new centralized repository and transactional platform called "Insurance Information Exchange" and make certain clarification changes to the NSCC Rules & Procedures

  • Federal Release:
    Release No. 34-90092; File No. SR-NSCC-2020-017
    (October 5, 2020)

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

Financial Statements

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Subject Description Type Date
  • DTCC Financial Statements Q2 2020
  • Consolidated 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
  • Aug 10, 2020
  • 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
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