董事会委员会
The Board shall establish any standing committees that it deems necessary or appropriate to discharge its responsibilities. 董事会目前设有七个委员会:
识别的能力, manage and mitigate risk is fundamental to the services that DTCC provides to its members and to the financial markets generally, and oversight of these activities is a primary activity of the Board of Directors of DTCC (the "Board").
The Board has established a 风险委员会 of the Board (the “Committee”) to assist the Board in fulfilling its responsibilities for oversight of risk management activities at DTCC and at the SIFMUs (collectively, the “Company”) focusing on the following critical aspects: (1) oversight of risk management systems and processes designed 识别 and manage credit, market, liquidity, 以及DTCC及其子公司的经营风险, including the SIFMUs; and (2) due to the Company’s unique capabilities and position, oversight of the Company’s efforts to mitigate certain “systemic risks” that may undermine the stable operation of the financial system. 提供额外的, dedicated focus and align oversight of specialized risk categories with the domain expertise of other committees that have been established, 或者可以不时地建立, 由董事会(每个“其他董事会委员会”), 和集体, “董事会其他委员会”), 某些风险将由董事会其他委员会监督. 虽然这些风险不会由委员会直接监督, 委员会将, 尽管如此, 与董事会其他委员会协调风险监督, 适当的, to achieve comprehensive and holistic oversight of the Company’s risk-related matters.
这仍然是DTCC管理团队的责任, including through the activities of the Management 风险委员会, 识别, 适当地管理和减轻风险.
Committee Members: 安东尼•墨菲 (Chair); 大卫ingg; Raj Mahajan; 克雷格梅辛杰卖力地; 安德里亚Pfenning; James Tabacchi.
The Board of Directors (the "Board") of DTCC has established an 执行委员会 to exercise powers of the Board in the event that an emergency or other time-sensitive matter arises and it is not practicable to assemble the entire Board.
Committee Members: Kevin Kessinger (Chair); 弗兰克·拉·萨拉; 奈杰尔·福克纳; Lori Hricik; Jack Klinck 安东尼•墨菲; Ann Reese.
The Board of Directors (the "Board") of DTCC has established a 治理委员会 to assist the Board in: (1) identifying, screening and reviewing individuals qualified to serve as directors and recommending to the Board candidates for nomination for election at the annual meeting of shareholders or to fill Board vacancies; (2) developing, recommending to the Board and overseeing implementation of DTCC's Corporate Governance Policy and DTCC's Board Code of Ethics; and (3) reviewing on a regular basis the overall corporate governance of DTCC and recommending improvements when necessary.
Committee Members: Ann Reese (Chair);威廉Hirshorn; Raj Mahajan; Doug Spell; James Tabacchi.
The Board of Directors (the "Board") of DTCC has established a Compensation and Human Resources Committee to assist the Board in overseeing DTCC's management compensation policies and practices, including by (1) recommending the compensation of DTCC's Chief Executive Officer to the Board and approving compensation for certain other officers; (2) reviewing and approving the structure of compensation programs for employees; and (3) assessing whether the compensation program promotes an appropriate approach to risk management.
Committee Members: Lori Hricik (Chair); 凯利康威; 黛博拉·坎宁安; 奈杰尔·福克纳; 基兰汉拉罕; Jack Klinick; 安德里亚Pfenning.
The Board of Directors (the "Board") of DTCC has established an 审计委员会 to assist the Board in overseeing: (1) the integrity of DTCC's financial statements and financial reporting; (2) the overall effectiveness of DTCC's internal control environment; (3) the effectiveness of DTCC's process for monitoring compliance with applicable laws, regulations and the code of ethics; (4) the performance and coverage of the internal audit function; (5) the external auditor's independence, performance and coverage; and (6) legal, 合规和监管风险.
Committee Members: Ann Reese (Chair); Debbie Cunningham; 基兰汉拉罕; Tony Miller; Doug Spell; 纳撒尼尔Stankard.
The Board of Directors (the "Board") of DTCC has established a Technology & 网络委员会 to assist the Board in overseeing all aspects of the Company's technology and cyber program, 程序, performance and risks relating to the Company's information technology and cybersecurity infrastructure.
Committee Members: 奈杰尔·福克纳 (Chair); Bill Capuzzi; 凯利康威; 大卫ingg; 克雷格梅辛杰卖力地; Tony Miller.
The Board of DTCC has established an 企业服务委员会 to assist the Board in overseeing all aspects of the Company's operational performance relating to the Company's overall operations, including, 但不限于业务服务, 全球业务运营, 客户服务, 企业项目管理办公室, 和市场营销./p>
Committee Members: Jack Klinck (Chair); Bill Capuzzi; 威廉Hirshorn; Lori Hricik; 安东尼•墨菲; 纳撒尼尔Stankard.