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DTCC Data Repository
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DTCC DATA R EPOSITORY (U.S.) LLC SEC EXHIBIT Y SUBMISSION DATE; MARCH 31, 2016 APRIL 2017 Exhibit Y 38. Attach as Exhibit Y policies and procedures implemented by the applicant to review any prohibition or limitation of any person with respect to access to services offered or data maintained by the applicant and to grant such person access to such services or data if such person has been discriminated against unfairly. Applicants who are denied access are granted to SDR Services have the ability right to appeal the denial utilizing the process outlined in Section 10.2 of the DDR Rulebook (Denial of User Application ) of the DDR Rulebook. Applicants who are denied access are permitted ), which includes the right to request a hearing before three (3) members of the DDR Board. In the event the denial is related to DDR as a SIP , DDR shall provide the SEC with notice of the denial, which shall be subject to revi ew by the SEC on its own motion or upon application by the denied Applicant pursuant to Section 11A of the Securities Exchange Act of 1934. Regulators and entities who are denied access to DDR data should follow the process outlined in Section 6.7 of the DDR Rulebook (Denial of Access to Data), which provides for a description of the grounds for the denial of access so that the party making the request may resubmit such application . Additionally, the Section 10.3 of the DDR Rulebook (Involuntary Termination Procedures) of the DDR Rulebook does permit permit s DDR to terminate Users for various types of infractions in certain circumstances , including: (a) a material breaches breach of the User Agreement , Operating Procedures, DDR Rulebook or any Applicable Law ; (b) a User ‘s whose account or IT systems cause system is causi ng material harm to the functioning of the SDR; normal operation of DDR™s s ystem ; or (c) Users who have abandoned their accounts; (d) the Board determines that the User is experiencing significant financial or operating difficulties; or (e) the Board determines that termination is required under applicable law. failure to pay fees when due .. Under Section 10.3.3 of the DDR Rulebook (Right of Appeal to Involuntary Termination), Users are permitted to appeal any involuntary termination . With respect to access to data maintained by DDR: As noted in Section 6 of DDR ‘s Rules,(Use of Data), Public Data shall be available in accordance with Applic able Regulations and accessible on DDR ‘s website as further specified in Section V of the Appendix to the Operating Procedures. Access to U.S. swap data maintained by DDR to Market Participants is generally prohibited, except to either counterparty to th at particular swap, authorized third party service providers or
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