LAST UPDATED: February 2, 2022
Use of Content
Public DTCC Reports
Disclaimers and Limitation of Liability
None of the Content on the DTCC Site shall be considered an offer or recommendation to buy or sell or a solicitation of an offer to buy or sell any security or instrument or to participate in any particular trading strategy. Further, none of the Content is intended to constitute investment advice or a recommendation to make (or refrain from making) any kind of investment decision and may not be relied on as such. Historical data and analysis should not be taken as an indication or guarantee of any future performance, analysis, forecast or prediction.
The entire risk as to the accuracy, completeness and use of the Content of the DTCC Site is with you, as is the risk of viruses and other contamination. YOU HAVE THE SOLE RESPONSIBILITY FOR ADEQUATE PROTECTION AND BACKUP OF DATA AND/OR EQUIPMENT USED IN CONNECTION WITH THE DTCC SITE.
The DTCC Site contains hyperlinks to third party websites which are the sole responsibility of such independent third parties and use thereof is solely at your own risk. DTCC has no control over such third-party websites, and DTCC is not responsible for (and under no circumstances shall be liable for) the contents, policies, accuracy or reliability of any websites hyperlinked to the DTCC Site.
CUSIP Database & Proprietary Rights
To the extent that you have access to CUSIPs on the DTCC Site, you agree and acknowledge that the CUSIP Database and the information contained therein is and shall remain valuable intellectual property owned by, or licensed to, CUSIP Global Services ("CGS") and the American Bankers Association ("ABA"), and that no proprietary rights are being transferred to you in such materials or in any of the information contained therein.
American Bankers Association CUSIP Database provided by S&P Global Market Intelligence LLC. Copyright 2020. All rights reserved.
Members of the Press and Media
Members of the press and media who have questions related to use of the Content on the DTCC Site, should contact DTCC’s Media Relations Department at https://www.dtcc.com/press-room/media-contacts.
Permission to use DTCC Site Content
Claims, Jurisdiction and Choice of Law
Information published on the DTCC Site may contain references to products, programs and services that are not announced or available in your country or region. DTCC makes no representation that such information, products, programs or services referenced on this website are legal, available or appropriate in your country or region.
LEGAL AND REGULATORY COMPLIANCE
Regulation of DTCC ITP in the United States
Several DTCC Institutional Trade Processing services are subject to regulation by the U.S. Securities and Exchange Commission (“SEC”). DTCC ITP's TradeSuite ID and TradeMatch, which are U.S.—based electronic trade confirmation and central matching services, are subject to SEC regulation and is a service of DTCC ITP Matching (US) LLC. CTM, which is a central matching service, is subject to SEC regulation when the service is used for trades in which either the broker-dealer or its institutional customer is a U.S. entity and the securities in the trade are issued by a U.S. issuer and is a service of DTCC ITP Matching (US) LLC. The SEC regulation of DTCC ITP Matching (US) LLC is set out in an SEC order granting an exemption from registration as a clearing agency. The order is contained in SEC Release No. 34-44188; File No. 600-32; 66 FR 20494 (April 17, 2001).
Regulation of DTCC ITP Matching (Canada) Limited in Canada
DTCC ITP Matching (Canada) Limited has been granted status as a Matching Utility by the Ontario Securities Commission under NI24-101. DTCC ITP Matching (Canada) Limited has been authorized by the Ontario Securities Commission to offer its matching service, DTCC's CTM to its Canadian clients.
Regulation of DTCC ITP (UK) Limited in the United Kingdom
DTCC (UK) Limited has been authorised by the Financial Conduct Authority (FCA) to carry out regulated activities in the UK as a Service Company. DTCC's CTM and ALERT systems are regulated services in the UK.
SSAE 16 Audit of Control Environment
On an annual basis, DTCC engages an independent third-party auditor to examine and report on the suitability of the design and operating effectiveness of controls for the most widely used DTCC Institutional Trade Processing solutions. The auditor prepares a Service Organization Control (SOC) 1 Type 2 report in accordance with Statement on Standards for Attestation Engagements (SSAE) No. 16, which was published by the American Institute of Certified Public Accountants (AICPA) and supersedes the SAS 70 standard for performing an examination of controls and processes. The SOC 1 report addresses controls in various areas, including data accuracy, security and processing timeliness. The report also contains a description of the control environment, including systems and processes, as well as management's assertion about the design and operating effectiveness of this control environment. Please direct SSAE 16 inquiries to your Relationship Manager, a Sales Associate or by contacting DTCC’s Client Contact Center.
Scheduled Times of the DTCC Clearing Agencies
Scheduled times provided by DTC, FICC/GSD, FICC/MBSD and NSCC (each “the Corporation”) may be extended, IN THE CORPORATION’S SOLE DISCRETION, as APPROPRIATE to (i) address operational or other delays that would reasonably prevent members/participants or the Corporation from meeting the deadline or timeframe, as applicable, or (ii) allow the Corporation time to operationally exercise its rights under its rules. In addition, times applicable to the Corporation are standards and not deadlines; actual processing times may vary AS NECESSARY OR APPROPRIATE.
If you have any questions, please contact DTCC’s Compliance Department at [email protected]