DTC Audit Confirmation Requests

Published on: Jan 28, 2025

On Jan. 23, DTC issued notice on updated audit confirmation requests.

  • DTC issued notice that audit requests will be required to be submitted electronically.
  • Audit Confirmations
  • Audit confirmation requests will be delivered electronically, without physical delivery.
  • Participants, members, issuers may submit request to the applicable email address.
  • All other requirements unchanged; if requirements met, DTC will attempt to process all requests upon receipt, and if deficient, FTC to notify the designated audit contact.
  • Effectiveness
  • Audit confirmations will be required effective Feb. 24, 2025.
Regulators
DTC
Entity Types
B/D; Exch
Reference
Nt 0277, 1/23/2025;
Functions
Financial; Reporting; Risk; Treasury
Countries
United States of America
Category
State
N/A
Products
Custody; Securities
Rule Type
Final
Regions
Am
Rule Date
Jan 23, 2025
Effective Date
Feb 24, 2025
Rule ID
241326
Linked to
N/A
Reg. Last Update
Jan 23, 2025
Report Section
US Investment