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Legal & Regulatory

Important Notices

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DDRS19

Mar 25, 2024 Consultation on DTCC Data Repository (Singapore) Pte. Ltd. (“DDRS”) Revised Rulebook

19891-24

Mar 22, 2024 Tax Relief – Country: KOREA
Securities: SEE BELOW
CUSIP(s): 449187707, 449187103, 449187509, 796050888, 796050201, 78392B107
Record Date: 03/29/2024
Payable Date: TBA
CA Web Cut-Off: 04/08/2024 8:00 PM ET

19890-24

Mar 22, 2024 Tax Relief – Country: KOREA
Securities: SEE BELOW
CUSIP(s): 693483109, 824596100, 78440P306, 48268K101, 981064108
Record Date: 03/28/2024
Payable Date: TBA
CA Web Cut-Off: 04/08/2024 8:00 PM ET

SEC Rule Filings

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SR-DTC-2024-004

Mar 22, 2024 DTC Update the Deposits Service Guide and the Operational Arrangements

SR-DTC-2024-002

Mar 20, 2024 DTC Amend the DTC Corporate Actions Distributions Service Guide and the DTC Settlement Service Guide

SR-FICC-2024-802

Mar 14, 2024 FICC - GOV Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) to Address the Conditions of Note H to Rule 15c3-3a

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)

Risk Management

 
GSD Schedule of MLA Charge Asset Groups and Subgroups
Asset groups/subgroups used in calculation of the MLA Charge at GSD
FICC - GSD
October 30, 2023
MBSD Schedule of MLA Charge Asset Groups and Subgroups
Asset groups/subgroups used in calculation of the MLA Charge at MBSD
FICC - MBS
October 30, 2023
GSD Schedule of Haircuts and Concentration Limits for Eligible Clearing Fund Securities
Haircuts and concentration limits applied to Eligible Clearing Fund Securities pledged to secure the Clearing Fund deposits at GSD
FICC - GSD
December 4, 2023
MBSD Schedule of Haircuts and Concentration Limits for Eligible Clearing Fund Securities
Haircuts and concentration limits applied to Eligible Clearing Fund Securities pledged to secure the Clearing Fund deposits at MBSD
FICC - MBS
December 4, 2023
NSCC Schedule of Haircuts and Concentration Limits for Eligible Clearing Fund Securities
Haircuts and concentration limits applied to Eligible Clearing Fund Securities pledged to secure the Clearing Fund deposits at NSCC
NSCC
December 4, 2023

Issue Eligibility

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eCD Change Indemnification Letter

Dec 21, 2023 The eCD Indemnification Letter is used when features on an eCD certificate need to be amended post issuance. Special Letters (PDF)

Operational Arrangements

Oct 14, 2023 Operational Arrangements - Necessary for Securities to Become and Remain Eligible for DTC Services
Issue Eligibility

Letter of Securities Possession (LOP)

Apr 06, 2021 The LOP is used, when due to extraordinary circumstances, the Lead Underwriter of a Non-FAST new issue has advised DTC that it will not be able to deliver the physical certificates to DTC in compliance to the requirements described in DTC’s Operational Arrangements (OA). Note: Please read the letter in its entirety before completing and submitting to DTC. Special Letters (PDF)

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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CPMI IOSCO Quantitative Disclosure Results 2023 Q4

Mar 05, 2024 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .pdf

CPMI IOSCO Quantitative Disclosure Results 2023 Q4

Mar 05, 2024 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .xlsx

DTCC UK Tax Strategy

Dec 08, 2023 This statement is for the financial year ending 31 December 2023 and is made in compliance with the requirements outlined in Part 2 of Schedule 19 of the Finance Act 2016. The strategy below applies to taxes in the U.K. PDF

Financial Statements

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DTC Annual Financial Statements 2023 and 2022

Mar 01, 2024 Financial Statements as of and for the Years Ended December 31, 2023 and 2022, and Report of Independent Registered Public Accounting Firm .pdf

FICC Annual Financial Statements 2023 and 2022

Mar 01, 2024 Financial Statements as of and for the Years Ended December 31, 2023 and 2022, and Report of Independent Registered Public Accounting Firm
.pdf

NSCC Annual Financial Statements 2023 and 2022

Mar 01, 2024 Financial Statements as of and for the Years Ended December 31, 2023 and 2022, and Report of Independent Registered Public Accounting Firm .pdf

FSB Questionnaire: Continuity of Access to FMI's

The following documents contain the responses of The Depository Trust Company (DTC), National Securities Clearing Corporation (NSCC), and The Fixed Income Clearing Corporation (FICC), (collectively the DTCC Clearing Agencies), to the questionnaire published by The Financial Stability Board (FSB). The questionnaire is entitled, FSB Continuity of Access to FMIs for Firms in Resolution, and is intended to streamline the collection of information to support resolution planning. The responses provided by the DTCC Clearing Agencies are intended to assist members and resolution authorities in their resolution planning. Please note that members of multiple DTCC Clearing Agencies should refer to the questionnaire for each applicable clearing agency, as responses may differ based upon the services provided and rules and procedures covering the clearing agency.

 
Continuity of Access to DTC
DTC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
DTC
March 1, 2023
Continuity of Access to FICC
FICC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
FICC
March 1, 2023
Continuity of Access to NSCC
NSCC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
NSCC
March 10, 2023
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