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Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Notices
paragraphs a1i, a1ii, b1, b2, and b4 of Exchange Act rule 18a8, provided that:
1 The Covered Entity is subject to and complies with the requirements of FCA PRIN 2.1.1R Principle 11; PRA
Fundamental Rule 7; FCA SUP 15.3.1R, 15.3.11R, 15.3.15R, 15.3.17R, and 15.3.21R; PRA Notifications Rules 2.1, 2.4, 2.5, 2.6, 2.8, and 2.9; FCA SYSC
18.6.1R; PRA General Organisational Requirements 2A.2, 2A.12 and 2A.3 to 2A.6; and CRR article 3665; and 2 The Covered Entity applies substituted compliance with respect to the requirements of Exchange Act section 15Fe and Exchange Act rules 18a1 through 18a1d pursuant to this Order;
B The requirements of Exchange Act rule 18a8c and the requirements of Exchange Act rule 18a8h as applied to Exchange Act rule 18a8c, provided that the Covered Entity is subject to and complies with the requirements of FCA
PRIN 2.1.1R Principle 11; PRA
Fundamental Rule 7; FCA SUP 15.3.1R, 15.3.11R, 15.3.15R, 15.3.17R, and 15.3.21R; FCA CASS 6.6.57R and 7.15.33R; PRA Notifications Rules 2.1, 2.4, 2.5, 2.6, 2.8, and 2.9; FCA SYSC
18.6.1R; and PRA General Organisational Requirements 2A.2, 2A.12, and 2A.3 to 2A.6;
C The requirements of Exchange Act rule 18a8d and the requirements of Exchange Act rule 18a8h as applied to the requirements of Exchange Act rule 18a8d, provided that:
1 The Covered Entity is subject to and complies with the requirements of FCA PRIN 2.1.1R Principle 11; PRA
Fundamental Rule 7; FCA SUP 15.3.1R, 15.3.11R, 15.3.15R, 15.3.17R, and 15.3.21R; FCA CASS 6.6.57R and 7.15.33R; PRA Notifications Rules 2.1, 2.4, 2.5, 2.6, 2.8, and 2.9; FCA SYSC
18.6.1R; and PRA General Organisational Requirements 2A.2, 2A.12, and 2A.3 through 2A.6; and 2 This Order does not extend to the requirements of Exchange Act rule 18a 8d to give notice with respect to books and records required by Exchange Act rule 18a5 for which the Covered Entity does not apply substituted compliance pursuant to this Order;
D The requirements of Exchange Act rule 18a8e and the requirements of Exchange Act rule 18a8h as applied to the requirements of Exchange Act rule 18a8e, provided that:
1 The Covered Entity is subject to and complies with the requirements of FCA PRIN 2.1.1R Principle 11; PRA
Fundamental Rule 7; FCA SUP 15.3.1R, 15.3.11R, 15.3.15R, 15.3.17R, and 15.3.21R; FCA CASS 6.6.57R and 7.15.33R; PRA Notifications Rules 2.1,
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2.4, 2.5, 2.6, 2.8, and 2.9; FCA SYSC
18.6.1R; and PRA General Organisational Requirements 2A.2, 2A.12, and 2A.3 through 2A.6;
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;
3 This Order does not extend to the requirements of Exchange act rule 18a 8e relating to Exchange Act rule 18a 2 or to the requirements of Exchange Act rule 18a8h as applied to the requirements Exchange Act rule 18a 8e relating to Exchange Act rule 18a 2; and 4 This Order does not extend to the requirements of Exchange act rule 18a 8e relating to Exchange Act rule 18a 4 or to the requirements of Exchange Act rule 18a8h as applied to the requirements of Exchange Act rule 18a 8e relating to Exchange Act rule 18a 4;
ii Paragraph f4i is subject to the following further conditions:
A The Covered Entity:
1 Simultaneously sends a copy of any notice required to be sent by UK
law cited in this paragraph of the Order to the Commission in the manner specified on the Commissions website;
and 2 Includes with the transmission the contact information of an individual who can provide further information about the matter that is the subject of the notice.
B This Order does not extend to the requirements of paragraphs a2 and b3 of Exchange Act rule 18a8
relating to Exchange Act rule 18a2 or to the requirements of Exchange Act rule 18a8h as applied to the requirements of paragraphs a2 and b3 of Exchange Act rule 18a8
relating to Exchange Act rule 18a2; and C This Order does not extend to the requirements of paragraph g of Exchange Act rule 18a8 or to the requirements of Exchange Act rule 18a 8h as applied to the requirements of paragraph g of Exchange Act rule 18a 8.
5 Securities Counts. The requirements of Exchange Act rule 18a 9, provided that:
1 The Covered Entity is subject to and complies with the requirements of FCA CASS 6.2.1R, 6.2.2R, 6.3.4A1R, 6.3.6AR, 6.6.2R, 6.6.3R, 6.6.34R, 6.6.4R, 6.6.8R, 10.1.3R, 10.1.7R, and 10.1.9E;
FCA SUP 3.10.4R through 3.10.7R; UK
MiFID Org Reg articles 74 and 75; UK
EMIR article 111b; and UK EMIR RTS
articles 12 and 13; and 2 The Covered Entity applies substituted compliance for the
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requirements of Exchange Act section 15Fe and Exchange Act rules 18a1
through 18a1d pursuant to this Order.
6 Daily Trading Records. The requirements of Exchange Act section 15Fg, provided that the Covered Entity is subject to and complies with the requirements of PRA Fundamental Rules 2 and 6; FCA PRIN 2.1.1.R2 and 3; PRA Recordkeeping Rule 2.1; FCA
SYSC 9.1.1AR; and MiFID Org Reg article 211f, 214, and 721.
7 Examination and Production of Records. Notwithstanding the forgoing provisions of paragraph f of this Order, this Order does not extend to, and Covered Entities remain subject to, the requirement of Exchange Act section 15Ff to keep books and records open to inspection by any representative of the Commission and the requirement of Exchange Act rule 18a6g to furnish promptly to a representative of the Commission legible, true, complete, and current copies of those records of the Covered Entity that are required to be preserved under Exchange Act rule 18a 6, or any other records of the Covered Entity that are subject to examination or required to be made or maintained pursuant to Exchange Act section 15F
that are requested by a representative of the Commission.
8 English Translations.
Notwithstanding the forgoing provisions of paragraph f of this Order, to the extent documents are not prepared in the English language, Covered Entities must promptly furnish to a representative of the Commission upon request an English translation of any record, report, or notification of the Covered Entity that is required to be made, preserved, filed, or subject to examination pursuant to Exchange Act section 15F of this Order.
g Definitions 1 Covered Entity means an entity that:
i Is a security-based swap dealer or major security-based swap participant registered with the Commission;
ii Is not a U.S. person, as that term is defined in rule 3a713a4 under the Exchange Act;
iii Is a MiFID investment firm or third country investment firm, as such terms are defined in the FCA
Handbook Glossary, that has permission from the FCA or PRA under Part 4A of FSMA to carry on regulated activities relating to investment services and activities in the United Kingdom; and iv Is supervised by the FCA under the fixed supervision model and, if the firm is a PRA-authorized person, also supervised by the PRA as a Category 1
firm.

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