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Summary Report: 2024 Investment Management Compliance Testing Survey
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 15, 2024
Voluntary T+1 Implementation Recommendations for Transactions in Foreign Securities (SIFMA)
This is a list of voluntary recommendations for T+1 scenarios involving foreign securities.
June 27, 2024
This is a list of scenarios for foreign securities that are subject to Exchange Act Rule 15c6-1.
June 27, 2024
Considerations for Granting Exemptions (DTCC)
This document describes DTCC’s framework to determine whether to grant extensions for settlement.
June 27, 2024
T+1 Securities Settlement Industry Implementation Playbook (DTCC, ICI, SIFMA, Deloitte)
This document discusses considerations for market participants in preparing for the transition to T+1.
June 27, 2024
DTCC T+1 Conversion Guide (May 2024)
This guide discusses T+1 systems and processing changes, the impact on DTCC outputs, and DTCC’s implementation support structure.
May 27, 2024
Accelerated Settlement (T+1) DTC, NSCC and ITP Functional Changes (April 2024)
This document discusses systems and processing changes at Institutional Trade Processing (ITP), National Securities Clearing Corporation (NSCC), and The Depository Trust Company (DTC) in connection with the transition to T+1.
April 27, 2024
T+1 Settlement Cycle Booklet (SIFMA, CCMA ACMC, ISDA) (April 2024)
This document addresses questions related to the T+1 transition and potential impacts to securities and derivatives transactions.
April 27, 2024
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