ICE Clear Credit LLC — Form CA-1 Application and Exhibits

List in Exhibit A any person who either directly or indirectly, through agreement or otherwise, may control or direct the management or policies of registrant. For each person listed, provide the full name and address and attach a copy of each written agreement or, if the agreements are unwritten, describe the agreement or arrangement through which such person exercises or may exercise such control or direction.  

• ICC- CA-1 Exhibit A - Narrative

List in Exhibit B the registrant’s corporate officers, trust officers, managers or other persons occupying a similar status or performing similar functions who supervise, or are directly responsible for the conduct of, registrant’s clearing agency activities, indicating for each: (a) Name (b) Title (c) Area of responsibility (d) A brief account of the business experience during the last five (5) years.  

• ICC- CA-1 Exhibit B - Narrative 

Attach as Exhibit C narrative and graphic descriptions of registrant’s organizational structure. If clearing agency activities are conducted primarily by a division, subdivision, or other segregable entity within the registrant corporation or organization, identify the relationship of such entity to the registrant’s overall organizational structure and limit the descriptions to the division, subdivision or other segregable entity which performs clearing agency activities.  

• ICC- CA-1 Exhibit C - Narrative 

Attach as Exhibit D a list of persons who directly or indirectly, through one or more intermediaries, are controlled by, or are under common control with, the clearing agency and indicate the nature of the control relationship. 

• ICC- CA-1 Exhibit D - Narrative

Attach as Exhibit E a copy of the currently effective constitution, articles of incorporation or association, by-laws, rules, procedures and instruments corresponding thereto, of the registrant and a complete list of all dues, fees and other charges imposed by registrant for its clearing agency activities.  

• ICC- CA-1 Exhibit E - Narrative 

The proposed rules of ICC’s Treasury Business. 

• ICC- CA-1 Annex E-2 

Attach as Exhibit H a balance sheet and statement of income and expenses, and all notes or schedules thereto of registrant, as of registrant’s most recent fiscal year for which such information is available, certified by an independent accountant. (If certified financial information is not available, uncertified financial information should be submitted).  

• ICC- CA-1 Exhibit H - Narrative

ICC’s audited financial statements for Years Ended December 31, 2024 and 2023. 

• ICC- CA-1 Annex H

Attach as Exhibit I the addresses of all offices in which clearing agency activities are performed by registrant, or for registrant by any person listed in response to item 4, and identify the nature of the clearing activities performed in each office listed.  

• ICC- CA-1 Exhibit I - Narrative

Attach as Exhibit J narrative descriptions of each service or function performed by the registrant.  

• ICC- CA-1 Exhibit J - Narrative

Attach as Exhibit K a description of the measures or procedures employed by registrant to provide for the security of any system which performs the functions of a clearing agency. Include a general description of any operational safeguards designed to prevent unauthorized access to the system (including unauthorized input or retrieval of information for which the primary record source is not hard copy). Identify any instances within the past year in which the described security measures or safeguards failed to prevent unauthorized access to the system and describe any measures taken to prevent a recurrence of any such incident. Describe also any measures used to verify the accuracy of information received or disseminated by the system. 

• ICC- CA-1 Exhibit K - Narrative

Attach as Exhibit L a description of the measures or procedures employed by registrant to provide for the safeguarding of securities and funds in its custody or control. Identify any instances within the past year in which the described security measures or safeguards failed to prevent any unauthorized access to securities or funds in possession of registrant and any measures taken to prevent a recurrence of any such incident. 

• ICC- CA-1 Exhibit L - Narrative

Attach as Exhibit N a list of the persons who currently participate, or who have applied for participation, in registrant’s clearing agency activities (if registrant performs more than one activity, a columnar presentation may be utilized). 

• ICC- CA-1 Exhibit N - Narrative

Attach as Exhibit O a description of any specifications, qualifications, or other criteria which limit, are interpreted to limit, or have the effect of limiting access to, or use of, any clearing agency service furnished by the registrant and state the reasons for imposing such specifications, qualifications, or other criteria.  

• ICC- CA-1 Exhibit O - Narrative

Attach as Exhibit Q a schedule of any prices, rates or fees fixed by registrant for services rendered by its participants.  

• ICC- CA-1 Exhibit Q - Narrative

Attach as Exhibit R a schedule of any prohibitions or limitations imposed by the clearing agency on access by any person to services offered by any participant.  

• ICC- CA-1 Exhibit R - Narrative