Federal Register - August 2, 2021
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Fuente: Federal Register
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Federal Register / Vol. 86, No. 145 / Monday, August 2, 2021 / Notices
Act section 15Fk and Exchange Act rule 15Fk1 pursuant to this Order;
N The requirements of Exchange Act rule 18a5a18i and ii or b14i and ii, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of EMIR article 111b and EMIR RTS
article 151a; and 2 The Covered Entity applies substituted compliance for Exchange Act rule 15Fi3 pursuant to this Order;
and O The requirements of Exchange Act rule 18a5a18iii or b14iii, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of EMIR article 111b and EMIR RTS
article 151a, in each case with respect to such security-based swap portfolios; and 2 The Covered Entity applies substituted compliance for Exchange Act rule 15Fi4 pursuant to this Order.
ii Paragraph f1i is subject to the following further conditions:
A Paragraphs f1iA through D
and H are subject to the condition that the Covered Entity preserves all of the data elements necessary to create the records required by the applicable Exchange Act rules cited in such paragraphs and upon request furnishes promptly to representatives of the Commission the records required by those rules;
B A Covered Entity may apply the substituted compliance determination in paragraph f1iM to records of compliance with Exchange Act rule 15Fh3b, c, e, f and g in respect of one or more security-based swaps or activities related to security-based swaps; and C This Order does not extend to the requirements of Exchange Act rule 18a 5a13, a14, a16, b9, b10 or b12.
2i Preserve certain records. The requirements of the following provisions of Exchange Act rule 18a6, provided that the Covered Entity complies with the relevant conditions in this paragraph f2i and with the applicable conditions in paragraph f2ii:
A The requirements of Exchange Act rule 18a6a1 or a2, as applicable, provided that the Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 72, 74, 75, and Annex IV; CRR article 103; MiFIR article 251; EMIR article 92; MiFID articles 166 and 692;
CRD article 73; MiFID Delegated Directive article 2; MFC articles L. 511
411B; L. 53310 II, L. 62184, L. 621
9, and L. 62110; Decree of 6 September
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2017 article 3; and AMF General Regulation article 3126;
B The requirements of Exchange Act rule 18a6b1i or b2i, as applicable, provided that the Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 72, 74, 75, and Annex IV; CRR
article 103; MiFIR article 251; EMIR
article 92; MiFID articles 166 and 692; CRD article 73; MiFID Delegated Directive article 2; MFC articles L. 511
411B; L. 53310 II, L. 62184, L. 621
9, and L. 62110; Decree of 6 September 2017 article 3; and AMF General Regulation article 3126;
C The requirements of Exchange Act rule 18a6b1ii and iii, provided that:
1 The Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 72, 74, and 75;
EMIR article 92; CRD article 73; MiFID
Delegated Directive article 2; MiFID
166; MFC article L. 511411B, L.
51151 through L. 51188, L. 53322, and L. 53310 II; Decree of 6 September 2017 article 3; AMF General Regulation article 3126; Ministerial Order on the Supervisory Review and Evaluation Process; and Internal Control Order articles 85, 86, 92, and 93; and 2 The Covered Entity applies substituted compliance for the requirements of Exchange Act section 15Fe and Exchange Act rules 18a1
through 18a1d pursuant to this Order;
D The requirements of Exchange Act rule 18a6b1iv or b2ii, as applicable, provided that the Covered Entity is subject to and complies with the requirements of CRR article 103;
MiFID Org Reg articles 72, 73, 74, 75, 76, Annex I and Annex IV; MiFIR article 251; EMIR article 92; CRD article 73;
MiFID articles 166, 167; MiFID
Delegated Directive article 2; MFC
articles L. 511411B, L. 51151 to L.
51188, L. 53322, L. 53310 II, L.
53310 III, Internal Control Order articles 85, 86, 92, and 93; Ministerial Order on the Supervisory Review and Evaluation Process; Decree of 6
September 2017 article 3; and AMF
General Regulation article 3126;
E The requirements of Exchange Act rule 18a6b1v, provided that:
1 The Covered Entity is subject to and complies with the requirements of EMIR article 92; CRR articles 99, 294, 394, 415, 430 and Part Six: Title II and Title III; CRR Reporting ITS article 14
and annexes IV and VIIIXIII; MiFID
Org Reg article 721; and Internal Control Order articles 85, 86, 92, and 93;
2 With respect to the requirements of Exchange Act rule 18a6b1v, the Covered Entity applies substituted compliance for the requirements of
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Exchange Act section 15Fe and Exchange Act rules 18a1 through 18a 1d pursuant this Order; and 3 This Order does not extend to the requirements of Exchange Act rule 18a 6b1v relating to Exchange Act rule 18a2;
F The requirements of Exchange Act rule 18a6b1vi or b2iii, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of EMIR article 92; MiFID Org Reg articles 721 and 73; MiFID article 166; and MFC articles L. 53310 II, L.
56112; and 2 With respect to the requirements of Exchange Act rule 18a6b1vi, the Covered Entity applies substituted compliance for the requirements of Exchange Act section 15Fe and Exchange Act rules 18a1 through 18a 1d pursuant to this Order;
G The requirements of Exchange Act rule 18a6b1vii or b2iv, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 721 and 73;
MiFIR article 251; EMIR article 92;
MiFID article 166; and MFC article L.
53310 II; and 2 With respect to the requirements of Exchange Act rule 18a6b1vii, the Covered Entity applies substituted compliance for the requirements of Exchange Act section 15Fe and Exchange Act rules 18a1 through 18a 1d pursuant to this Order;
H The requirements of Exchange Act rule 18a6b1viii, provided that:
1 The Covered Entity is subject to and complies with the requirements of CRR articles 99, 294, 394, 415, 430 and Part Six: Title II and Title III; CRR
Reporting ITS article 14 and annexes I
V and VIIIXIII, as applicable; MiFID
Org Reg article 721; and Internal Control Order articles 85, 86, 92, and 93;
2 The Covered Entity applies substituted compliance for the requirements of Exchange Act rule 18a 7a1, b, c through h, and Exchange Act rule 18a7j as applied to these requirements pursuant to this Order;
3 With respect to the requirements of Exchange Act rule 18a6b1viii, the Covered Entity applies substituted compliance for the requirements of Exchange Act section 15Fe and Exchange Act rules 18a1 through 18a 1d pursuant to this Order;
4 This Order does not extend to the requirements of Exchange Act rule 18a 6b1viiiL; and 5 This Order does not extend to the requirements of Exchange Act rule 18a
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