Federal Register - August 6, 2021
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Fuente: Federal Register
43374
Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Notices
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required to reconcile, and does reconcile, the portfolio containing the relevant security-based swap on each business day pursuant to UK EMIR
articles 111b and 112 and UK EMIR
RTS article 13.
f Substituted Compliance in Connection With Recordkeeping, Reporting, Notification, and Securities Count Requirements.
This Order extends to the following provisions that apply to a Covered Entity related to recordkeeping, reporting, notification, and securities counts:
1i Make and keep current certain records. The requirements of the following provisions of Exchange Act rule 18a5, provided that the Covered Entity complies with the relevant conditions in this paragraph f1i and with the applicable conditions in paragraph f1ii:
A The requirements of Exchange Act rule 18a5a1 or b1, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Recordkeeping Rule 2.1; UK MiFID
Org Reg articles 74, 75, and Annex IV;
UK MiFIR article 251; and FCA SYSC
9.1.1AR; and 2 With respect to the requirements of Exchange Act rule 18a5a1, 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.
B The requirements of Exchange Act rule 18a5a2, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Recordkeeping Rule 2.1; FCA
SYSC 9.1.1AR; PRA Internal Capital Adequacy Assessment Rule 3.1; FCA
CASS 6, 7, 10.1.3R, 10.1.7, and 10.1.9E;
UK MiFID Org Reg articles 72, 74, and 75; and UK EMIR article 394; 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;
C The requirements of Exchange Act rule 18a5a3 or b2, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Recordkeeping Rule 2.1; FCA
SYSC 9.1.1AR; FCA CASS 6, 7, 10.1.3R, 10.1.7, and 10.1.9E; UK MiFID Org Reg articles 72, 74, and 75; and UK EMIR
article 394; and 2 With respect to the requirements of Exchange Act rule 18a5a3, 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 to this Order;
D The requirements of Exchange Act rule 18a5a4 or b3, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of UK CRR article 103; FCA COND at paragraphs 2C, 2D, 3B, 3C, 5D, and 5F;
PRA Fundamental Rules 2 and 6; FCA
PRIN 2.1.1.R2 and 3; PRA
Recordkeeping Rule 2.1; UK MiFID Org Reg articles 59, 74, 75 and Annex IV;
UK MiFIR article 251; FCA SYSC
9.1.1AR; FCA COBS 16A.3.1UK; UK
EMIR articles 92 and 111a; and 2 With respect to the requirements of Exchange Act rule 18a5a4, 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;
E The requirements of Exchange Act rule 18a5b4 provided that the Covered Entity is subject to and complies with the requirements of FCA
COBS 8A.1.9R, 16A.2.1R, 16A.3.1UK;
UK MiFID Org Reg article 59; FCA SYSC
9.1.1AR; and UK EMIR articles 92 and 111a;
F The requirements of Exchange Act rule 18a5a5 or b5, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Recordkeeping Rule 2.1; UK MiFID
Org Reg articles 74, 75, and Annex IV;
UK MiFIR article 251; and FCA SYSC
9.1.1AR; and 2 With respect to the requirements of Exchange Act rule 18a5a5, 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 rules 18a5a6 and a15 or b6
and b11, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Fundamental Rules 2 and 6; PRA
Recordkeeping Rule 2.1; CRR articles 103, 1053, and 10510; UK MiFID Org Reg articles 59, 74, 75, and Annex IV;
UK MiFIR article 251; FCA SYSC
9.1.1AR; FCA COBS 8A.1.9R, 16A.2.1R, and 16A.3.1UK; UK EMIR articles 92, 111a, and 394; and 2 The Covered Entity applies substituted compliance for the requirements of Exchange Act rule 15Fi2 pursuant to this Order;
H The requirements of Exchange Act rule 18a5a7 or b7, as applicable, provided that:
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1 The Covered Entity is subject to and complies with the requirements of UK MiFIR article 251; MLR 2017
Regulations 28 through 30; FCA SYSC
9.1.1AR; and PRA Recordkeeping Rule 2.1; and 2 With respect to the requirements of Exchange Act rule 18a5a7, 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;
I The requirements of Exchange Act rule 18a5a8, provided that:
1 The Covered Entity is subject to and complies with the requirements of CRR articles 103, 1053, and 10510;
PRA Fundamental Rules 2 and 6; PRA
Recordkeeping Rule 2.1; UK MiFID Org Reg articles 59, 74, 75, and Annex IV;
UK MiFIR article 251; FCA SYSC
9.1.1AR; UK EMIR articles 92, 111a, and 394; MLR 2017 Regulations 28
through 30; 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.;
J The requirements of Exchange Act rule 18a5a9, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Internal Capital Adequacy Assessment Rule 3.1; FCA CASS 6, 7, 10.1.3R, 10.1.7, and 10.1.9E; UK EMIR
article 394; and UK MiFID Org Reg articles 72, 74, and 75;
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;
and 3 This Order does not extend to the requirements of Exchange Act rule 18a 5a9 relating to Exchange Act rule 18a2;
K The requirements of Exchange Act rules 18a5a10 and b8, provided that the Covered Entity is subject to and complies with the requirements of FSMA sections 63F2, 63F5, 632A, 60A2; PRA Fitness and Propriety Rules 2.6 and 2.9; SMR Applications and Notifications Rules 2.1, 2.2, and 2.6;
PRA Certification Rule 2.1; PRA General Organisational Requirements Rules 5.1
and 5.2; FCA SUP 10C.10.8D, 10C.10.8AD, 10C.15, 10C.10.16R, and 10C Annex 3D; FCA SYSC 4.3A.1R., 4.3A.3R, 10.1.7R, and 27; and UK MiFID
Org Reg articles 211d and 35;
L The requirements of Exchange Act rule 18a5a12, provided that:
1 The Covered Entity is subject to and complies with the requirements of UK CRR articles 103, 1053, and
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