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Compliance at DTCC


Code of Conduct

For DTCC's Code of Conduct please refer here

Anti-Money Laundering

DTCC坚定地致力于维护其业务的安全和稳健,并保护其在全球金融界的声誉.  DTCC还承认其在进一步打击洗钱和恐怖主义融资方面的重要作用.   In compliance with applicable provisions of the Bank Secrecy Act (BSA) and global requirements, DTCC has established standards that include:

  • Written Anti-Money Laundering (AML) policies and procedures;
  • Observance of a Know Your Customer Program;
  • Operating procedures reasonably designed to meet AML and Global Sanctions screening responsibilities;
  • Investigating and appropriate reporting of suspicious activity;
  • Training; and 
  • Independent testing


DTC Wolfsberg AML Questionnaire

DTCC Wolfsberg AML Questionnaire


英国金融市场行为监管局(FCA)重申了核心假设,即企业不能依赖于2021年底后公布的LIBOR. At that point, all firms should be prepared for LIBOR to be unusable, and market participants are strongly encouraged to transition to other risk-free rates.

DTCC has been involved with the U.S. 美国联邦储备银行替代参考利率委员会(ARRC)自建立担保隔夜融资利率(SOFR)以来,一直参与业务工作组及其下属小组的工作. SOFR是美元计价衍生品和贷款的基准利率,预计将取代伦敦银行同业拆息(LIBOR)。.

DTCC has reviewed the impact of the cessation of LIBOR on its businesses. While there is an impact to the transactions that are processed through DTCC businesses, there is no impact on DTCC operations. Below provides an overview of DTCC’s review:

DTCC SIFMU Businesses:

  • NSCC - Does not utilize LIBOR (or other IBOR) benchmark rates for the purposes of trade input or processing.
  • FICC - Does not utilize LIBOR (or other IBOR) benchmark rates for the purposes of trade input or processing.
  • DTC - Does not utilize LIBOR (or other IBOR) benchmark rates for the purposes of trade input or processing. For corporate action events, 证券发行人的代理人向DTC提供支付给记录持有人的数字利率. The derivation of the rate and its underlying benchmark, if applicable, are not functions provided by DTC.

DTCC Solutions Businesses:

DTCC has completed its internal review of potential impact, and has determined there are very limited areas, relationships and touchpoints. DTCC does not consume the LIBOR index, nor does it create calculations based on LIBOR.

  • RDS:交易存储库- DTCC通过多个司法管辖区的许可或注册交易存储库运营全球交易存储库(GTR)服务. 需要通过交易存储库报告的某些交易可能包含基础参考利率(IBOR或RFR). 报告方及其代理人的职责是确定提交的头寸是否需要对IBOR进行修改,并采取必要步骤修改或修改所报告的头寸. The GTR will not be doing any updating of data. 有几个行业工作组正在与参与者和监管机构讨论这些问题, and GTR is participating in these working groups as appropriate.
  • Trade Information Warehouse (TIW): DTCC的TIW为已通过电子确认或清算的信用衍生品提供交易后处理. None of these transactions reference IBORs and there is no implication to the TIW.
  • Margin Transit Utility (MTU): Reference rates are not utilized by the MTU and there is no implication.
  • ITP: Reference rates are utilized as information submitted for repo transactions to CTM and TradeSuite. The new RFRs have been added. There is no expectation that there will be any necessary amendments to legacy transactions. There is no impact to OASYS, GMEI or ALERT.


OFAC Certifications

根据外国资产控制办公室(“OFAC”)的规定,受美国管辖的某些成员和参与人必须每两年向DTCC提供一份“OFAC项目确认书”(“OFAC确认书”). These would include U.S. Participants and Pledgees of The Depository Trust Company (“DTC”), U.S. Members and Limited Members of the National Securities Clearing Corporation (“NSCC”), U.S. Members of Government Securities Division, and U.S. Participants of Mortgage-Backed Securities Division of the Fixed Income Clearing Corporation (“FICC”).

The OFAC Confirmation is intended to provide evidence that the U.S. 成员或参与者(i)与通过DTC为其开展活动的客户具有主要关系, NSCC, or FICC; and (ii) has implemented a risk-based program reasonably designed to comply with applicable OFAC sanctions and regulations.

The OFAC Compliance Officer, 首席合规官或其他负责管理美国海外资产控制办公室合规项目的个人.S. Members and Participants must renew their OFAC Confirmation on or prior to the expiration date. 未能在到期日或之前提供OFAC项目电子确认的会员和有限会员将被扣缴5美元,000 fine.

自助服务客户确认(OFAC Web确认)Web应用程序(可通过关系管理提供的DTCC门户访问)允许美国.S. 会员及参会者以电子方式续签其确认书,而不是提交纸质的确认书. The Self-Service Customer Confirmation (also allows U.S. 会员和参会者须在一次提交中提交对一个或多个法人实体的确认, view the history of submissions, and read and print a copy of the executed confirmation. Only the designated OFAC Compliance Officer or designee for the U.S. Member or Participant may renew the confirmation in the OFAC Confirmation web application. The Access Coordinator for the U.S. Member or Participant may register the OFAC Compliance Officer for the application. 没有访问协调器的成员和参与者应与他们的关系经理联系.

For questions on the Rule requiring confirmation of an OFAC Program, call the DTCC Compliance Hotline at 212-855-8030.

For more information please refer to the following:

Rule Filing SR-DTC-2009-14 

Rule Filing SR-NSCC-2009-07 

Rule Filing SR-FICC-2009-09 

DTC Important Notice B5707-09 (October 01, 2009)

DTC Important Notice B0998-11 (June 29,2011)

NSCC Important Notice A6883 (October 1, 2009)

NSCC Important Notice A7236 (June 29,2011)

GSD Important Notice GOV130.09 (October 1, 2009)

GSD Important Notice GOV095.11 (June 29, 2011)

MBSD Important Notice MBS180.09 (October 1, 2009)

MBSD Important Notice MBS109.11 (June 29, 2011)

KYC Requirements 

DTCC坚定地致力于维护其业务的安全和稳健,并保护其在全球金融界的声誉.  DTCC还承认其在进一步打击洗钱和恐怖主义融资方面的重要作用.  In support of these efforts, and in compliance with legal and regulatory obligations, DTCC has established a KYC Program.

DTCC的KYC计划的主要目标是提供一种基于风险的方法,用于收集充分的信息和文件,以了解其客户及其子公司的客户, as required by U.S. and international AML regulations. The DTCC KYC Program includes the implementation of a Customer Identification Program (“CIP”), conducting Customer Due Diligence (“CDD”), and Enhanced Due Diligence (“EDD”), when necessary (collectively referred to as Know Your Customer or (“KYC”)).  KYC信息和文件的收集旨在识别和减轻申请成为DTCC客户和现有客户的实体所构成的反洗钱(“AML”)风险,以帮助促进对异常或潜在可疑活动的检测和识别.  In order to accurately assess the AML risks posed by existing clients of DTCC, DTCC also conducts ongoing KYC reviews.  

DTCC子公司的申请人被要求在入职过程中提供必要的KYC信息.  使用可能涉及到现有客户端的进程定期刷新此信息, via email, to confirm existing data or provide necessary updates.  Existing Members and Participants are required to inform DTCC, in a timely manner, of business changes, which include changes to a Member or Participant organization’s structure, ownership, or control persons. 

Fines & Waivers 


Rules, By-Laws and Operational Certificate of The Depository Trust Company (“DTC”)

Rules and Procedures of the National Securities Clearing Corporation (“NSCC”)

Fixed Income Clearing Corporation’s (“FICC”) Mortgage-Backed Securities Division (“MBSD”) Rules

Fixed Income Clearing Corporation’s (“FICC”) Government Securities Division (“GSD”) Rulebook

符合1934年证券交易法第17A (b) (3) (G)条的纪律要求, as amended; the notice requirements of 12 C.F.R. § 208.32; as well as the Clearing Agency Rules and Trade Repository Rulebooks/Procedures defined in the listed documents above, violations of these rules may result in a Warning Notice or a fine.  Notification in the form of a Warning Notice or Fine Letter will be sent to the Participant or Member, via email, within 10 business days of confirmation of the violation.  Rule violations that may result in a fine include the following:

  • Failure to settle on time
  • Late acknowledgement of transactions and changes in positions 
  • Failure to provide required clearing funds in a time manner 
  • Failure of DTC Participants to complete monthly confirmation of positions on time 
  • Failure to provide financial reports in a timely manner
  • 未能及时提供有关业务和/或财务变化的通知(包括法定取消资格)
  • Failure to renew the Confirmation of an OFAC Program in a timely manner
  • Failure to renew the confirmation of a cybersecurity program in a timely manner

As indicated in the Fine Notice, Participants and Members may contest a fine by requesting that it be waived or that a hearing be held.  A request for a waiver must be made, in writing, within five business days of the date the Fine Letter was received.  In the event that a Warning Notification or Fine Letter has been received, please refer to the contact information in the specific notification for questions or further details.

Slavery and Human Trafficking Statement

This statement is made on behalf of DTCC Derivatives Repository PLC (“DDRL”), DTCC Europe Limited (“DEL”) and The Depository Trust & Clearing Corporation (“DTCC”), (together, the “Company”),1 pursuant to section 54 of the Modern Slavery Act 2015 (“Act”) in respect of 为打击现代奴隶制和人口贩运而采取的措施 financial year ended 31 December 2020.

Modern Slavery Act 2015: Slavery and Human Trafficking Statement for Financial Year Ended 31 Dec 2017

Modern Slavery Act 2015: Slavery and Human Trafficking Statement for Financial Year Ended 31 Dec 2018

Modern Slavery Act 2015: Slavery and Human Trafficking Statement for Financial Year Ended 31 Dec 2019

Modern Slavery Act 2015: Slavery and Human Trafficking Statement for Financial Year Ended 31 Dec 2020

Modern Slavery Act 2015: Slavery and Human Trafficking Statement for Financial Year Ended 31 Dec 2021


Company Profile 

 Name Depository Trust and Clearing Corporation
 Registered Address 55 Water Street, New York, NY, United States 10041
 Web address http://www.vinitasalomeblog.com/ 
 Board of Directors http://www.vinitasalomeblog.com/about/leadership/board
 DTCC Senior Management http://www.vinitasalomeblog.com/about/leadership/management-committee
 Annual Report http://www.vinitasalomeblog.com/about/annual-report
 Our Businesses and Subsidiaries     http://www.vinitasalomeblog.com/about/businesses-and-subsidiaries

Our Regulators 

DTCC’s subsidiaries are subject to supervision and oversight by a number of regulatory bodies. DTC, NSCC, 2012年7月,金融稳定监督委员会(FSOC)根据《正规的买球赛平台》第八章,将FICC指定为“具有系统重要性的金融市场公用事业公司”.

 SEC U.S. Securities and Exchange Commission 
  • National Securities Clearing Corporation (NSCC)
  • Fixed Income Clearing Corporation (FICC)
  • The Depository Trust Company (DTC)
  • DTCC ITP Matching (US) LLC
 Federal Reserve Bank - NY  Federal Reserve Bank of New York

  • The Depository Trust Company (DTC)
 NY State Department Financial Services  New York State Department of Financial Services

  • The Depository Trust Company (DTC)
 ASIC  Australian Securities and Investment Commission

  • DTCC Data Repository (Singapore) PTE Ltd 
 FCA  United Kingdom Financial Conduct Authority (FCA)

  • DTCC Derivatives Repository PLC
  • DTCC ITP (UK) Limited
 Autoritie des Marches Financiers   Autorité des marches financiers (Quebec)

  • DTCC Data Repository (U.S.) LLC 
 OSC  Ontario Securities Commission

  • DTCC ITP Matching (Canada) Limited
  • DTCC Data Repository (U.S.) LLC
  • Fixed Income Clearing Corporation (FICC)
 US Commodity Futures Trading Commission  U.S. Commodity Futures Trading Commission

  • DTCC Data Repository (U.S.) LLC 
 J-FSA  Japan Financial Services Agency (J-FSA)

  • DTCC Data Repository (Japan) KK
 MAS  Monetary Authority of Singapore (MAS)

  • DTCC Data Repository (Singapore) PTE Ltd.
 Bank of Japan  Bank of Japan

  • DTCC Data Repository (Japan) KK
 ESMA  European Securities and Markets Authority (ESMA)

  • DTCC Derivatives Repository PLC
  • DTCC Data Repository Ireland
 Manitboa Securities Commission  Manitoba Securities Commission

  • DTCC Data Repository (U.S.) LLC
 ASC  Alberta Securities Commission

  • DTCC Data Repository (U.S.) LLC
 BCSC Logo  British Columbia Securities Commission

  • DTCC Data Repository (U.S.) LLC
 Financial and Consumer Services Commission  Financial and Consumer Services Commission, New Brunswick

  • DTCC Data Repository (U.S.) LLC
 Newfoundland Labrador  Office of the Superintendent of Securities, Newfoundland and Labrador

  • DTCC Data Repository (U.S.) LLC
 Novia Scotia Securities Commission  Nova Scotia Securities Commission

  • DTCC Data Repository (U.S.) LLC
 Northwest Territories  Office of the Superintendent of Securities, Northwest Territories

  • DTCC Data Repository (U.S.) LLC
 Nunavut  Office of the Superintendent of Securities, Nunavut

  • DTCC Data Repository (U.S.) LLC
 Prince Edward Island Logo  Office of the Superintendent of Securities, Prince Edward Island

  • DTCC Data Repository (U.S.) LLC
 FCAA Logo  Financial and Consumer Affairs Authority of Saskatchewan

  • DTCC Data Repository (U.S.) LLC
 Yukon Government  Office of the Yukon Superintendent of Securities

  • DTCC Data Repository (U.S.) LLC
 Finma Swiss Financial Market Supervisory Authority (FINMA) 

  • Fixed Income Clearing Corporation (FICC)

Contact the Compliance Hotline: +1-212-855-8030 or [email protected]