合规

存合规性

行为准则 

For 存's 行为准则 please refer 在这里

反洗钱

存 is firmly committed to preserving the safety and soundness of its operations and protecting its reputation in the global financial community.  存 also acknowledges its important role in furthering efforts to combat money laundering and terrorist financing.   符合银行保密法(BSA)的适用规定和全球要求, 存 has established standards that include:

• Written 反洗钱 (AML) policies and procedures;
• Observance of a Know Your Customer Program;
• 合理设计的操作程序，以满足“反洗钱”和“全球制裁”的筛选责任;
• 调查和适当报告可疑活动;
• Training; and 
• 独立测试

Further details about 存’s compliance with these requirements are provided via the Wolfsberg 反洗钱 Questionnaire:

直接转矩 Wolfsberg AML Questionnaire

存 Wolfsberg AML Questionnaire

存 STATEMENT ON THE CESSATION OF LIBOR

The UK Financial Conduct Authority (葬礼) has reaffirmed central assumption that firms cannot rely on LIBOR being published after the end of 2021. 在这一点上, all firms should be prepared for LIBOR to be unusable, 同时强烈鼓励市场参与者转向其他无风险利率.

存 has been involved with the U.S. Federal Reserve Bank's Alternative Reference Rates Committee (ARRC) since the creation of a secured overnight financing rate (“SOFR”) and participates with the Operational Working Group and its sub-groups. SOFR is a benchmark interest rate for dollar-denominated derivatives and loans that is expected to replace London inter-bank offered rate (LIBOR).

存已经审查了LIBOR停止对其业务的影响. 虽然对通过存业务处理的事务有影响, t在这里 is no impact on 存 operations. Below provides an overview of 存’s review:

存 SIFMU业务:

• NSCC -不利用LIBOR(或其他IBOR)基准利率进行贸易输入或处理.
• FICC -不利用LIBOR(或其他IBOR)基准利率进行贸易输入或处理.
• 直接转矩 -不利用LIBOR(或其他IBOR)基准利率进行贸易输入或处理. 公司活动活动, agents of securities issuers provide 直接转矩 with the numerical rate to be paid out to the holders of record. The derivation of the rate and its underlying benchmark, 如果适用的话, are not functions provided by 直接转矩.

存解决方案业务:

存 has completed its internal review of potential impact, and has determined t在这里 are very limited areas, 关系和接触点. 存不消耗LIBOR指数，也不创建基于LIBOR的计算.

• RDS: Trade repositories – 存 operates Global Trade 存储库 (GTR) services through a number of licensed or registered trade repositories in various jurisdictions. Certain transactions required to be reported through trade repositories may contain the underlying reference rate (IBOR or RFR). It is the role of the reporting parties and their agents to determine if the submitted positions need to be amended for any IBOR transition and to take the necessary steps to amend or modify the reported positions. The GTR will not be doing any updating of data. T在这里 are several industry working groups that are discussing these issues with participants and regulators, GTR正在酌情参加这些工作组.
• Trade Information Warehouse (TIW): 存’s TIW provides post-trade processing for credit derivatives that have been electronically confirmed or cleared. 这些交易都不涉及ibor，也不涉及TIW.
• 国际旅游业伙伴关系:参考利率被用作提交给中医和TradeSuite进行回购交易的信息. 已经添加了新的rfr. 不期望对遗留事务进行任何必要的修改. T在这里 is no impact to OASYS, GMEI or 警报.

COMPLIANCE REQUIREMENTS FOR 存 CLIENTS

外国资产控制办公室认证

Certain Members and Participants that are subject to the jurisdiction of the 美国 under Office of Foreign Assets Control (“OFAC”) regulations are required to provide 存 with a “Confirmation of an OFAC Program” (“OFAC Confirmation”) every two years. 这些包括U.S. 美国存托信托公司(“直接转矩”)的参与者和质押人.S. 美国国家证券结算公司(“NSCC”)的会员和有限会员.S. Members of Government Securities Division, and U.S. 固定收益结算公司按揭证券部的参与者.

OFAC确认的目的是提供证据，证明美国.S. Member or Participant (i) has the primary relationship with the clients for whom it is conducting activity through 直接转矩, NSCC, or FICC; and (ii) has implemented a risk-based program reasonably designed to comply with applicable OFAC sanctions and regulations.

OFAC合规官, Chief 合规 Officer or other individual with responsibility for managing the OFAC compliance program for U.S. 会员及参加者必须在OFAC确认书到期当日或之前更新确认书. Members and Limited Members that fail to provide the electronic confirmation of an OFAC Program on or before the expiration date will be subject to a $5,罚款000.

The Self-Service Customer Confirmation (OFAC Web Confirmation) web application (accessible via the 存 Portal provided by Relationship Management) allows U.S. Members and Participants to renew their confirmations electronically rather than by submitting a hard copy confirmation. The Self-Service Customer Confirmation (also allows U.S. Members and Participants to provide their confirmation for one or more legal entities in one submission, view the history of submissions, and read and print a copy of the executed confirmation. 只有指定的OFAC合规官或美国的指定人员.S. 会员或参加者可透过OFAC确认网页申请更新确认. The Access Coordinator for the U.S. 成员或参与者可为申请注册OFAC合规官. Members and Participants that do not have an Access Coordinator should contact their Relationship Manager.

有关OFAC项目确认规则的问题, call the 存 合规 Hotline at 212-855-8030.

For more information please refer to the following:

规则文件SR-直接转矩-2009-14 

规则归档sr - nsc -2009-07 

规则文件SR-FICC-2009-09 

直接转矩 Important Notice B5707-09 (10月ober 01, 2009)

直接转矩 Important Notice B0998-11 (June 29,2011)

NSCC Important Notice A6883 (10月ober 1, 2009)

NSCC Important Notice A7236 (June 29,2011)

政府统计处重要通告GOV130.09(2009年10月1日)

政府统计处重要通告GOV095.11(2011年6月29日)

重要通知.09(2009年10月1日)

重要通知.11(2011年6月29日)

什么需求 

存 is firmly committed to preserving the safety and soundness of its operations and protecting its reputation in the global financial community.  存 also acknowledges its important role in furthering efforts to combat money laundering and terrorist financing.  支持这些努力, and in compliance with legal and regulatory obligations, 存 has established a KYC Program.

The primary objective of 存’s KYC Program is to provide a risk-based approach for the collection of sufficient information and documentation to know its customers and the customers of its subsidiaries, 按照U的要求.S. and international AML regulations. 存 KYC计划包括实施客户识别计划(“CIP”), conducting Customer Due Diligence (“CDD”), and Enhanced Due Diligence (“EDD”), (统称为“了解您的客户”或“KYC”)).  The collection of KYC information and documentation is intended to identify and mitigate 反洗钱 (“AML”) risk posed by entities applying to be customers and existing customers of 存 to help facilitate the detection and identification of unusual or potentially suspicious activity.  为了准确评估存现有客户的“反洗钱”风险, 存 also conducts ongoing KYC reviews.  

Applicants to 存’s subsidiaries are requested to provide the necessary KYC information during the onboarding process.  This information is periodically refreshed using a process that may involve reaching out to existing clients, 通过电子邮件, to confirm existing data or provide necessary updates.  Existing Members and Participants are required to inform 存, 及时地, 商业变化, 其中包括对成员或参与者组织结构的更改, 所有权, 或者控制人员. 

罚款 & 豁免 

规则 for Participants and Members at the various 存 clearing agencies are set forth in the following documents:

存托信托公司(“存托信托公司”)的规则、附例及营运证明书

国家证券结算公司规则和程序

固定收益结算公司(“FICC”)抵押贷款支持证券部(“MBSD”)规则

固定收益结算公司(“FICC”)政府证券部(“GSD”)规则手册

In compliance with the disciplinary requirements of Section 17A (b) (3) (G) of the Securities Exchange Act of 1934, as amended; the notice requirements of 12 C.F.R. § 208.32; as well as the 清算 Agency 规则 and Trade 存储库 Rulebooks/程序 defined in the listed documents above, 违反这些规则可能导致警告通知或罚款.  以警告通知书或罚款通知书的形式通知参加者或会员, 通过电子邮件, within 10 business days of confirmation of the violation.  可能导致罚款的违规行为包括:

• 不能按时结算
• 延迟确认交易和头寸变化 
• Failure to provide required clearing funds in a time manner 
• 参加者未能按时完成每月的职位确认 
• Failure to provide financial reports 及时地
• Failure to provide timely notice regarding business and/or financial changes (including Statutory Disqualification)
• 未及时更新OFAC项目确认书
• 未能及时更新网络安全计划的确认

As indicated in the Fine Notice, 与会者和会员可对罚款提出异议，要求免除罚款或举行听证会.  A request for a waiver must be made, 以书面形式, 在收到罚款函之日起五个工作日内.  如果收到警告通知或罚款信, 如有任何问题或进一步详情，请参阅具体通知中的联系信息.

Slavery and Human Trafficking Statement

本声明是代表存衍生品储存库PLC(“DDRL”)作出的。, 存 Europe Limited (“DEL”) and The Depository Trust & 清算公司 (“存”), (在一起, “公司”),1根据《vnsr威尼斯城官网登入》(“法案”)第54条，vns6060威尼斯城官网 the steps taken to combat modern slavery and human trafficking occurring within supply chains in relation to the financial year ended 31 December 2020.

2015年现代奴隶制法案:截至2017年12月31日财政年度的奴隶制和人口贩运报表

2015年现代奴隶制法案:截至2018年12月31日财政年度的奴隶制和人口贩运报表

2015年现代奴隶制法案:截至2019年12月31日的财政年度奴隶制和人口贩运报表

2015年现代奴隶制法案:截至2020年12月31日财政年度的奴隶制和人口贩运报表

2015年现代奴隶制法案:截至2021年12月31日财政年度的奴隶制和人口贩运报表

2015年现代奴隶制法案:截至2022年12月31日财政年度的奴隶制和人口贩运声明

存服务提供商、合作伙伴和第三方的合规性信息

公司简介 

我们的监管机构 

存的子公司受到许多监管机构的监督和监督. 直接转矩, NSCC, and FICC were also designated by the Financial Stability Oversight Council (FSOC) as “systemically important financial market utilities” under Title VIII of Dodd-Frank in July 2012.

	U.S. Securities and Exchange Commission  National Securities 清算公司 (NSCC) Fixed Income 清算公司 (FICC) The Depository Trust Company (直接转矩) 存 国际旅游业伙伴关系配对(美国)有限公司 存数据存储库(U.S.)有限责任公司
	Federal Reserve Bank of New York The Depository Trust Company (直接转矩)
	New York State Department of Financial 服务 The Depository Trust Company (直接转矩)
	Australian Securities and Investment Commission 存 Data 存储库 (Singapore) PTE Ltd
	United Kingdom Financial Conduct Authority (葬礼) 存 Derivatives 存储库 PLC 存 国际旅游业伙伴关系(英国)有限公司
	Autorité des marches financiers (Quebec) 存数据存储库(U.S.)有限责任公司  存 国际旅游业伙伴关系配对(美国)有限公司 Fixed Income 清算公司 存 国际旅游业伙伴关系 Matching (Canada) Limited
	Ontario Securities Commission 存 国际旅游业伙伴关系 Matching (Canada) Limited 存数据存储库(U.S.)有限责任公司 Fixed Income 清算公司 (FICC)
	U.S. Commodity Futures Trading Commission 存数据存储库(U.S.)有限责任公司
	Japan Financial 服务 Agency (J-FSA) 存 Data 存储库 (Japan) KK Fixed Income 清算公司
	Monetary Authority of Singapore (马斯) 存 Data 存储库 (Singapore) PTE Ltd.
	日本银行 存 Data 存储库 (Japan) KK
	European Securities and Markets Authority (欧洲证券与市场管理局) 爱尔兰存数据存储库 National Securities 清算公司 Fixed Income 清算公司
	Manitoba Securities Commission 存数据存储库(U.S.)有限责任公司
	Alberta Securities Commission 存数据存储库(U.S.)有限责任公司
	British Columbia Securities Commission 存数据存储库(U.S.)有限责任公司
	Financial and Consumer 服务 Commission, New Brunswick 存数据存储库(U.S.)有限责任公司
	纽芬兰和拉布拉多证券监督办公室 存数据存储库(U.S.)有限责任公司
	Nova Scotia Securities Commission 存数据存储库(U.S.)有限责任公司
	西北地区证券监督办公室 存数据存储库(U.S.)有限责任公司
	Office of the Superintendent of Securities, 努勒维特 存数据存储库(U.S.)有限责任公司
	爱德华王子岛证券监督办公室 存数据存储库(U.S.)有限责任公司
	Financial and Consumer Affairs Authority of Saskatchewan 存数据存储库(U.S.)有限责任公司
	Office of the Yukon Superintendent of Securities 存数据存储库(U.S.)有限责任公司
	Swiss Financial Market Supervisory Authority (FINMA)  Fixed Income 清算公司 (FICC) 存 Data 存储库 (Ireland) PLC

联系 the 合规 Hotline: +1-212-855-8030 or (电子邮件保护)