DTCC - Financial Planning Consultant
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LEGAL & REGULATORY

Important Notices

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Doc # Date Subsidiary Category Subject
  • 14799-21
  • Mar 08, 2021
  • DTC
  • Depositary Service Fee
  • Depositary Fees Notification
    Security: Gol Linhas
    CUSIP: 38045R206
    Bank of New York Mellon
  • 14529‐21
  • Mar 08, 2021
  • DTC
  • Distributions, Tax Relief
  • Tax Relief Country: Ireland
    Security: Eaton Corporation PLC
    CUSIP: G29183103
    Record Date: 03/16/2021 Payable Date: 03/30/2021
    Relief at Source CA Web Cut‐Off: 03/22/2021 8:00 PM ET
    Quick Refund CA Web Cut‐Off: 04/05/2021 8:00 PM ET
  • MBS967-21
  • Mar 08, 2021
  • FICC - MBS
  • Service Updates
  • AMENDMENT TO THE CLEARING AGENCY INVESTMENT POLICY

SEC Rule Filings

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SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2021-001
  • FICC - GOV, FICC - MBS

  • Revise the Clearing Agency Investment Policy

  • DTC-2021-002
  • DTC

  • Revise the Clearing Agency Investment Policy

  • NSCC-2021-003
  • NSCC

  • Revise the Clearing Agency Investment Policy

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
  • DTC Financial Statements 2020 and 2019
  • Financial Statements as of and for the Years Ended December 31, 2020 and 2019, and Report of Independent Registered Public Accounting Firm
  • .pdf
  • Mar 01, 2021
  • FICC Financial Statements 2020 and 2019
  • Financial Statements as of and for the Years Ended December 31, 2020 and 2019, and Report of Independent Registered Public Accounting Firm
  • .pdf
  • Mar 01, 2021
  • FICC Financial Statements Q4 2020
  • Audited Financial Statements as of and for the Years Ended December 31, 2020 and 2019, and Unaudited Condensed for the three Months Ended December 31, 2020 and 2019
  • .pdf
  • Mar 01, 2021
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