An applicable policy needs to identify the service, responsible legal entity, eligibility requirements and verification process. DTCC Trading KYC and AML procedures are not currently published here. This page outlines topics to look for in an official policy and does not create verification requirements or claim regulatory compliance.
SERVICE SCOPE
Read the scope of a verification policy before providing information. It should identify the service, the people or organizations to whom it applies and the requirements relevant to their location.
IDENTITY VERIFICATION
A verification process should clearly explain its purpose, the responsible entity and the information requested.
Use an official, verified channel when reviewing information requests. Establish what is required, why it is required and which current privacy notice describes its handling. This page does not request identity documents.
Requirements can differ by service and customer context. Read the applicable published policy rather than inferring requirements from an example.
Any automated or manual review process needs to be described by the responsible service provider.
POLICY INFORMATION
A published policy should explain the scope of transaction monitoring and the responsibilities of each participant.
Review the responsible entity and the scope of its procedures in the official service documentation.
The treatment of a reviewed instruction, including any hold, rejection or request for information, needs an applicable policy. No such DTCC procedure is published on this page.
Personal-data handling needs a current privacy notice identifying the responsible entity and the purpose of processing.
Service eligibility and restrictions require a current, applicable policy. This page does not establish DTCC regional availability or a list of eligible users.