Risk Controls
Risk Controls
The Controls Behind Resilient Markets
DTCC’s risk control framework helps identify, measure, monitor and control financial, operational, cyber and market risks throughout the organization and the markets we support. Through a combination of governance, expertise, technology and industry collaboration, we help strengthen market resilience and enable the safe and efficient movement of capital.
Risk controls are the governance processes, frameworks, oversight mechanisms and operational practices DTCC uses to identify, monitor, mitigate and manage risk across the enterprise and its regulated clearing agencies.
Oversight that Enables Market Confidence
DTCC's Board of Directors oversees the organization's risk control framework and provides strategic direction for the enterprise.
Working alongside management and Board committees, the Board helps establish policies, risk tolerances and governance standards designed to support:
- The prompt and accurate clearance and settlement of securities transactions
- The safeguarding of securities and funds held by DTCC entities
- The resilience and integrity of critical market infrastructure
This governance model helps ensure accountability while enabling effective day-to-day risk management across the organization.
How Risk Oversight Works
The Board maintains ultimate responsibility for DTCC's risk control framework and oversight of its effectiveness.
Management is responsible for implementing the framework, operating within approved risk tolerances and managing risks across the enterprise. Board committees provide additional oversight and guidance in key risk areas, helping ensure that governance remains aligned with DTCC's strategic priorities and regulatory obligations.
Oversight that Enables Market Confidence
DTCC's Board of Directors oversees the organization's risk control framework and provides strategic direction for the enterprise.
Working alongside management and Board committees, the Board helps establish policies, risk tolerances and governance standards designed to support:
- The prompt and accurate clearance and settlement of securities transactions
- The safeguarding of securities and funds held by DTCC entities
- The resilience and integrity of critical market infrastructure
This governance model helps ensure accountability while enabling effective day-to-day risk management across the organization.
How Risk Oversight Works
The Board maintains ultimate responsibility for DTCC's risk control framework and oversight of its effectiveness.
Management is responsible for implementing the framework, operating within approved risk tolerances and managing risks across the enterprise. Board committees provide additional oversight and guidance in key risk areas, helping ensure that governance remains aligned with DTCC's strategic priorities and regulatory obligations.