Federal Register - August 16, 2021
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Fuente: Federal Register
lotter on DSK11XQN23PROD with NOTICES1
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Federal Register / Vol. 86, No. 155 / Monday, August 16, 2021 / Notices
1 The Covered Entity is subject to and complies with the requirements of FinMIA articles 104 and 106; CO article 958f; and 2 The Covered Entity applies substituted compliance for Exchange Act rule 15Fi3 pursuant to this Order;
and K The requirements of Exchange Act rule 18a5b14iii, provided that:
1 The Covered Entity is subject to and complies with the requirements of FinMIA articles 104 and 106; CO article 958f; and 2 The Covered Entity applies substituted compliance for Exchange Act rule 15Fi4 pursuant to this Order.
ii Paragraph d1i is subject to the following further conditions:
A Paragraphs d1iA through C
and G 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 d1iI to records of compliance with Exchange Act rule 15Fh3h 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 5b9, 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 d2i and with the applicable conditions in paragraph d2ii:
A The requirements of Exchange Act rule 18a6a2, provided that the Covered Entity is subject to and complies with the requirements of FinMIA article 106; CO article 958f;
FMIOFINMA article 14; AccO article 3; FINMA Circular 2008/4 Marg. 16;
B The requirements of Exchange Act rule 18a6b2i, provided that the Covered Entity is subject to and complies with the requirements of FinMIA article 106; CO article 958f;
FMIOFINMA article 14; AccO article 3; FINMA Circular 2008/4 Marg. 16;
C The requirements of Exchange Act rule 18a6b2ii, provided that the Covered Entity is subject to and complies with the requirements of CO
article 958f; FINMA Circular 2013/8
Marg. 60 and Marg. 61;
D The requirements of Exchange Act rule 18a6b2iii, provided that the
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Covered Entity is subject to and complies with the requirements of CO
article 958f; AMLA article 73; AMLO
FINMA article 51;
E The requirements of Exchange Act rule 18a6b2iv, provided that the Covered Entity is subject to and complies with the requirements of CO
article 958f; FINMA Circular 2013/8
Marg. 60 and Marg. 61;
F The requirements of Exchange Act rule 18a6b2vii, regarding one or more provisions of Exchange Act rules 15Fh3 or 15Fk1 for which substituted compliance is available under this Order, provided that:
1 The Covered Entity is subject to and complies with the requirements of FINMA Circular 2017/1; BA article 3;
CO article 958f, in each case with respect to the relevant security-based swap or activity;
2 With respect to the portion of Exchange Act rule 18a6b2vii that relates to one or more provisions of Exchange Act rule 15Fh3 for which substituted compliance is available under this Order, the Covered Entity applies substituted compliance for such business conduct standards of Exchange Act rule 15Fh3 pursuant to this Order, as applicable, with respect to the relevant security-based swap or activity; and 3 With respect to the portion of Exchange Act rule 18a6b2vii that relates to Exchange Act rule 15Fk1, the Covered Entity applies substituted compliance for Exchange Act section 15Fk and Exchange Act rule 15Fk1
pursuant to this Order;
G The requirements of Exchange Act rule 18a6c, provided that:
1 The Covered Entity is subject to and complies with the requirements of BA article 3; BO article 12; CO articles 686 and 958f; and 2 This Order does not extend to the requirements of Exchange act rule 18a 6c relating to Forms SBSE, SBSEA, SBSEC, SBSEW, all amendments to these forms, and all other licenses or other documentation showing the registration of the Covered Entity with any securities regulatory authority or the U.S. Commodity Futures Trading Commission;
H The requirements of Exchange Act rule 18a6d1, provided that the Covered Entity is subject to and complies with the requirements of CO
article 958f; BA article 3; BO article 12;
CO article 330a; FINMA Circular 2008/
21, Annex 3, margins 3033;
I The requirements of Exchange Act rule 18a6d2ii, provided that the Covered Entity is subject to and complies with the requirements of BA
article 3; BO article 12; CO article 958f;
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FINMA Circular 2008/21 margins 122, 128, 131, and Appendix 2;
J The requirements of Exchange Act rule 18a6d3ii, provided that the Covered Entity is subject to and complies with the requirements of CO
article 958f; BA article 3; BO article 12;
K The requirements of Exchange Act rule 18a6d4 and d5, regarding one or more provisions of Exchange Act rules 15Fi3 or 15Fi4 for which substituted compliance is available under this Order, provided that:
1 The Covered Entity is subject to and complies with the requirements of CO article 958f; FinMIA article 106;
2 With respect to the portion of Exchange Act rule 18a6d4 and d5
that relates to Exchange Act rules 15Fi 3 or 15Fi4, the Covered Entity applies substituted compliance for Exchange Act rules 15Fi3 and 15Fi4 pursuant to this Order; and 3 This Order does not extend to the requirements of Exchange Act rule 18a 6d4 and d5 relating to Exchange Act rule 15Fi5;
L The requirements of Exchange Act rule 18a6e, provided that the Covered Entity is subject to and complies with the requirements of AccO; and M The requirements of Exchange Act rule 18a6f, provided that the Covered Entity is subject to and complies with the requirements of FINMA Circular 2018/3.
ii Paragraph d2i is subject to the following further conditions:
A A Covered Entity may apply the substituted compliance determination in paragraph d2iF to records related to Exchange Act rule 15Fh3h in respect of one or more security-based swaps or activities related to securitybased swaps; and B This Order does not extend to the requirements of Exchange Act rule 18a 6b2v, b2vi, or b2viii.
3 File Reports. The requirements of the following provisions of Exchange Act rule 18a7, provided that the Covered Entity complies with the relevant conditions in this paragraph d3:
i The requirements of Exchange Act rule 18a7a2 and the requirements of Exchange Act rule 18a7j as applied to the requirements of Exchange Act rule 18a7a2, provided that:
A The Covered Entity is subject to and complies with the requirements of BA article 6a; BO article 32; CAO article 16; FINMA Circular 2020/1; and FINMA
Circular 2016/1; and B The Covered Entity files periodic unaudited financial and operational information with the Commission or its designee in the manner and format required by Commission rule or order
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