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Legal & 监管

重要的通知

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GOV1695-24

2024年5月10日 赞助会员-名称变更

MBS1333-24

2024年5月10日 2024 EPN子账户添加

CMU114-24

2024年5月10日 Charles Stewart mott 05000

SEC规则文件

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sr - ficc - 2024 - 008

2024年5月8日 Ficc - gov, Ficc - MBS Modify the GSD Rules and MBSD Rules to Update Certain Member Requirements Under CCLF

DDR修正案#1 - 2024

2024年4月4日 DerivSERV

DDR Rule Certification in connection with amendments to DDR Rulebook

sr - dtc - 2024 - 004

2024年4月2日 DTC Update the Deposits Service Guide and the 操作安排

章程、规则和程序

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DTC, FICC and NSCC are registered as clearing agencies with, and regulated by, the U.S. 美国证券交易委员会.


To view the rules and procedures that govern each clearing agency's operations, including information on default procedures or insolvency, 请按此: 章程、规则和程序


(请按此浏览: 收费表指引)

风险管理

 
GSD Schedule of MLA Charge Asset Groups and Subgroups
Asset groups/subgroups used in calculation of the MLA Charge at GSD
Ficc - GSD
2023年10月30日
MBSD Schedule of MLA Charge Asset Groups and Subgroups
Asset groups/subgroups used in calculation of the MLA Charge at MBSD
Ficc - MBS
2023年10月30日
GSD Schedule of Haircuts and Concentration Limits for Eligible 清算 Fund Securities
Haircuts and concentration limits applied to Eligible 清算 Fund Securities pledged to secure the 清算 Fund deposits at GSD
Ficc - GSD
2023年12月4日
MBSD Schedule of Haircuts and Concentration Limits for Eligible 清算 Fund Securities
Haircuts and concentration limits applied to Eligible 清算 Fund Securities pledged to secure the 清算 Fund deposits at MBSD
Ficc - MBS
2023年12月4日
NSCC Schedule of Haircuts and Concentration Limits for Eligible 清算 Fund Securities
Haircuts and concentration limits applied to Eligible 清算 Fund Securities pledged to secure the 清算 Fund deposits at NSCC
NSCC
2023年12月4日

问题的资格

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操作安排

2024年4月5日 操作安排 - Necessary for Securities to Become and Remain Eligible for DTC 服务
问题的资格

eCD更改赔偿函

2023年12月21日 The eCD Indemnification Letter is used when features on an eCD certificate need to be amended post issuance. 特别信函(PDF)

证券管有书(LOP)

2021年4月6日 使用LOP, 在特殊情况下, 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 操作安排 (OA). Note: Please read the letter in its entirety before completing and submitting to DTC. 特别信函(PDF)

合规

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合规 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, 合作伙伴, 及第三方.  外部各方可以查看DTCC 行为准则 as well as additional information pertaining to 合规 at DTCC. DTCC’s Clients can access information pertaining to Anti-Money Laundering, 外国资产控制办公室认证, KYC要求和罚款 & 豁免信息 here. DTCC的服务提供商, 合作伙伴 及第三方 can view the Company Profile, Ownership Statement and learn about our regulators here.

政策与合规

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CPMI IOSCO Quantitative Disclosure Results 2023 Q4

2024年3月5日 Fixed Income 清算 Corporation and National Securities 清算 Corporation Public Quantitative Disclosures for Central Counterparties .xlsx

CPMI IOSCO Quantitative Disclosure Results 2023 Q4

2024年3月5日 Fixed Income 清算 Corporation and National Securities 清算 Corporation Public Quantitative Disclosures for Central Counterparties .pdf

澳门赌场披露框架- 2023 Q4

2023年12月31日 The Disclosure 框架s explain how DTCC’s “Systemically Important Financial Market Utilities” (SIFMUs) reflect the SEC's Covered 清算 Agency Rules and the CPMI-IOSCO FMI Principles.


澳门赌场披露框架- 2023 Q4标记 PDF

财务报表

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DTCC财务报表2024年第一季度

2024年5月2日 Consolidated 财务报表 (Unaudited) as of March 31,
2024年和12月31日, 2023 and for the three months ended
2024年和2023年3月31日 .pdf

FICC财务报表2024年第一季度

2024年4月26日 财务报表 (Unaudited) as of March 31, 2024年和12月31日, 2023 and for the three months ended 2024年和2023年3月31日 .pdf

澳门赌场财务报表Q1 2024

2024年4月26日 财务报表 (Unaudited) as of March 31, 2024年和12月31日, 2023 and for the three months ended 2024年和2023年3月31日 .pdf

FSB Questionnaire: Continuity of Access to FMI's

The following documents contain the responses of The Depository Trust Company (DTC), National Securities 清算 Corporation (NSCC), and The Fixed Income 清算 Corporation (FICC), (统称DTCC结算机构), to the 问卷调查 published by The Financial Stability Board (FSB). The 问卷调查 有资格, 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 清算 Agencies are intended to assist members and resolution authorities in their resolution planning. Please note that members of multiple DTCC 清算 Agencies should refer to the 问卷调查 for each applicable clearing agency, as responses may differ based upon the services provided and rules and procedures covering the clearing agency.

 
访问DTC的连续性
DTC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
DTC
2023年3月1日
连续使用FICC
FICC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
FICC
2023年3月1日
访问澳门赌场的连续性
NSCC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
NSCC
2023年3月10日
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