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About 机构贸易处理

机构贸易处理 (DTCC ITP) is a business unit of The Depository Trust & 结算公司(DTCC). DTCC ITP是运营专家, automating post-trade life cycle events between 6,000 financial services firms in 52 countries. We enable clients to accelerate the clearing and settlement of trades, seamlessly connect and interoperate with their counterparties, and respond to changing market and regulatory conditions.

DTCC ITP operates through the following legal entities, providing services to clients around the globe:

• US: DTCC ITP配对(美国)有限公司, DTCC itp有限责任公司
• 新加坡:DTCC Singapore Pte. Ltd.
• Canada: DTCC ITP Matching (Canada) Limited, DTCC Canada Ltd
• 日本:DTCC Japan K.K.
• 香港:DTCC香港有限公司
• 英国:DTCC ITP (UK) Limited
• 澳大利亚:DTCC Australia Pty Ltd

法律法规 Status of DTCC ITP Entities

DTCC itp有限责任公司

DTCC itp有限责任公司 is the contracting entity in the 美国 for DTCC ITP's 服务. DTCC itp有限责任公司 is a Delaware limited liability company and is governed by a Board of Managers which includes representatives of DTCC Management and representatives of the global securities industry.

DTCC's 机构贸易处理 服务

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DTCC ITP配对(美国)有限公司

DTCC itp有限责任公司的全资子公司, DTCC ITP配对(美国)有限公司 (“DTCC ITP Matching”), holds an exemption from registration as a clearing agency in the 美国 pursuant subject to the conditions set forth in SEC Release No. 34-44188; File No. 600-32; 66 FR 20494 (April 17, 2001年)(“豁免令”), which provides an exemption for DTCC ITP Matching to provide central trade matching and electronic trade confirmation services subject to the conditions in the Exemptive Order. This Exemptive Order requires DTCC ITP Matching to preserve copies of various details, including any complaint received from an end-user customer, pertaining to the operation of the CTM and TradeSuite ID services. In the 美国, 服务 are contracted for by DTCC itp有限责任公司.

Regulation of DTCC ITP Matching (Canada) Limited in Canada

机构贸易处理 services (ITP) for the Canada region are provided by one or more of DTCC ITP Matching (Canada) Limited, a corporation with registered office at 199 Bay Street, 4000套房, 多伦多, ON, M5L 1 a9, Canada, 和DTCC加拿大有限公司, a corporation with registered office at 199 Bay Street, 4000套房, 多伦多, ON, M5L 1 a9, Canada, 是独立的法律实体吗, subject to the laws and regulations of the particular country or countries in which such entity operates. DTCC ITP Matching (Canada) Limited is subject regulated by the Ontario Securities Commission and the Autorité des marchés financiers in Quebec, Canada.

Regulation of DTCC ITP (UK) Limited in the United Kingdom

DTCC (UK) Limited has been authorized by the Financial Conduct Authority (FCA) to carry out regulated activities in the UK as a Service Company. DTCC's CTM is a regulated service in the UK.

The services described above are provided under the “DTCC” brand name by certain affiliates of The Depository Trust & 结算公司(“结算公司”). DTCC itself does not provide such services. ©2022 DTCC. 版权所有. DTCC, DTCC (Stylized), ADVANCING FINANCIAL MARKETS. 在一起, and the Interlocker graphic are registered and unregistered trademarks of The Depository Trust & 清算公司.

SSAE 18控制环境审计

按年计算, 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 机构贸易处理 solutions. The auditor prepares a Service Organization Control (SOC) 1 Type 2 report in accordance with Statement on Standards for Attestation Engagements (SSAE) No. 18, which was published by the American Institute of Certified Public Accountants (AICPA) and supersedes the SSAE-16 standard for performing an examination of controls and processes. The SOC 1 report addresses controls in various areas, 包括数据准确性, 安全性和处理及时性. The report also contains a description of the control environment, 包括系统和过程, as well as management's assertion about the design and operating effectiveness of this control environment. Please direct SSAE 18 inquiries to your Relationship Manager, a Sales Associate or by contacting DTCC客户联络中心.

If you have any questions, please contact DTCC’s 合规 Department at (电子邮件保护).