LEGAL & REGULATORY

Latest Important Notices

Use below listing to find important notices posted starting on September 1st, 2020. To find important notices uploaded prior to September 1st, 2020, please check the “Important Notices Archive” located at the bottom of this page. 

Doc # Date Subsidiary Category Subject
  • 14793-21
  • Mar 05, 2021
  • DTC
  • Distributions, Tax Relief
  • Tax Relief: – Country: Canada
    Security: Chemtrade Logistics Income Fund
    CUSIP: 16387P103
    Record Date: 02/26/2021
    Payable Date: 03/26/2021
    Not Subject to Sift Tax CA Web CO Canadian Source: 3/24/2021 8:00 PM ET
    Not Subject to Sift Tax CA Web CO Non‐Canadian Source: 3/24/2021 7:59 PM ET
  • 14767-21
  • Mar 05, 2021
  • DTC
  • Underwriting Service Updates
  • Section 3(c)(7) restrictions for owners of KKR CLO 29 LTD. / KKR CLO 29 LLC Notes
  • 14754-21
  • Mar 05, 2021
  • DTC
  • Distributions, Tax Relief
  • Tax Relief – Country: SWEDEN SVENSKA HANDELSBANKEN AB CUSIP: 86959C103 Record Date: 03/26/2021 Payable Date: 04/15/2021 CA Web Instruction Deadline: 03/31/2021 8:00 PM ET Quick Refund Open Date: Immediately Following DR Payable Date Quick Refund Instruction Deadline: 05/03/2021 8:00 PM ET
  • 14597-21
  • Mar 05, 2021
  • DTC
  • Distributions, Tax Relief
  • Tax Relief Country: Ireland
    Security: Willis Towers Watson
    CUSIP: G96629103
    Record Date: 3/31/2021
    Payable Date: 4/15/2021
    Relief at Source CA Web Cut-Off: 4/7/2021 8:00 PM ET
    Quick Refund CA Web Cut-Off: 4/29/2021 8:00 PM ET
  • 14795-21
  • Mar 05, 2021
  • DTC
  • Depositary Service Fee
  • Depositary Fees Notification
    Security: VIPSHOP HOLDINGS LTD
    CUSIP: 92763W103
    Deutsche Bank Trust Company Americas
  • MBS966-21
  • Mar 05, 2021
  • FICC - MBS
  • Membership Updates
  • 2021 EPN Sub-Account Additions
  • a8974
  • Mar 05, 2021
  • NSCC
  • Service Updates
  • NSCC PROPOSED RULE CHANGE AND ADVANCE NOTICE FILINGS – TO AMEND THE SUPPLEMENTAL LIQUIDITY DEPOSIT REQUIREMENTS (SR-NSCC-2021-002; SR-NSCC-2021-801)
  • TIW737
  • Mar 05, 2021
  • DerivSERV
  • Trade Information Warehouse - TIW, Trade Information Warehouse - TIW
  • Trade Information Warehouse Successor Event Processing for Cisco Systems, Inc.
  • TIW736
  • Mar 05, 2021
  • DerivSERV
  • Trade Information Warehouse - TIW
  • Trade Information Warehouse Rename Event Processing for CenturyLink, Inc.
  • 14796-21
  • Mar 05, 2021
  • DTC
  • Depositary Service Fee
  • Depositary Fees Notification
    Security: LENTA IPJSC 144A
    CUSIP: 52634T101
    Deutsche Bank Trust Company Americas
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Important Notices Archive

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Doc # Date Subsidiary Category Subject
  • 13852-20
  • Aug 31, 2020
  • DTC
  • Dividends, International
  • TaxRelief – Country: FINLAND CARGOTEC CUSIP: 14179X103
    Record Date: 09/04/2020 Payable Date: 09/18/2020
    Relief at Source CA Web Cut-Off: 09/11/2020 8:00 PM ET
  • 13049-20
  • Aug 31, 2020
  • DTC
  • Dividends, International
  • Tax Relief Country: Ireland Security: Medtronic PLC CUSIP: G5960L103 Record Date: 9/25/2020 Payable Date: 10/16/2020 Relief at Source CA Web Cut-Off: 10/7/2020 8:00 PM ET Quick Refund CA Web Cut-Off: 10/26/2020 8:00 PM
  • MBS898-20
  • Aug 31, 2020
  • FICC - MBS
  • Service Updates
  • Clearing, Pool Netting, and EPN Services – FNMA/UMBS – Inclusion of New Coupon
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