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lotter on DSK11XQN23PROD with NOTICES1

Federal Register / Vol. 86, No. 155 / Monday, August 16, 2021 / Notices and presents the financial information in the filing in accordance with generally accepted accounting principles that the Covered Entity uses to prepare general purpose publicly available or available to be issued financial statements in Switzerland.
4i Provide Notification. The requirements of the following provisions of Exchange Act rule 18a8, provided that the Covered Entity complies with the relevant conditions in this paragraph d4i and with the applicable conditions in paragraph d4ii:
A The requirements of Exchange Act rule 18a8c and the requirements of Exchange Act rule 18a8h as applied to the requirements of Exchange Act rule 18a8c, provided that the Covered Entity is subject to and complies with the requirements of FINMASA article 292; CAO articles 14, 423, 101, and 1304; and Liquidity Ordinance articles 17b, and 262.
B 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 FINMASA article 292; CAO articles 14, 423, 101, and 1304; and Liquidity Ordinance articles 17b, and 262; 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;
ii Paragraph d4i is subject to the following further conditions:
A The Covered Entity:
1 Simultaneously sends a copy of any notice required to be sent by Swiss 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; and B This Order does not extend to the requirements of paragraph g of rule 18a8 or to the requirements of Exchange Act rule 18a8h as applied to such requirements.
5 Daily Trading Records. The requirements of Exchange Act section 15Fg, provided that the Covered Entity is subject to and complies with the requirements of CO article 958f; FMIO
article 36; FMIOFINMA article 1;
FinMIA articles 38, 104, and 106;

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FINMA Circular 2013/8 marg. 60 and marg. 61.
6 Examination and Production of Records. Notwithstanding the forgoing provisions of paragraph d 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.
7 English Translations.
Notwithstanding the forgoing provisions of paragraph d 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.
e Definitions.
1 Covered Entity means an entity that:
i Is a security-based swap dealer 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 systemically important bank authorized by FINMA to conduct banking activities in the Swiss Confederation; and iv Is supervised by FINMA under the intensive and continual supervision model as a Category 1 firm as that term is defined in BO Annex 3.
2 AccO means the Ordinance on the Maintenance and Retention of Accounts Accounts Ordinance, CC
221.431, as amended from time to time.
3 AMLA means the Federal Act on Combating Money Laundering and Terrorist Financing Anti-Money Laundering Act, CC 955, as amended from time to time.
4 AMLOFINMA means the Ordinance of the Swiss Financial Market Supervisory Authority on the Prevention of Money Laundering and the Financing of Terrorist Activities FINMA Anti-Money Laundering Ordinance, CC 955.033.0, as amended from time to time.

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5 BA means the Federal Act on Banks and Savings Banks Banking Act, CC 952, as amended from time to time.
6 BO means the Ordinance on Banks and Savings Banks Banking Ordinance, CC 952.02, as amended from time to time.
7 CAO means the Ordinance concerning Capital Adequacy and Risk Diversification for Banks and Securities Dealers Capital Adequacy Ordinance, CC 952.03, as amended from time to time.
8 CO means the Federal Act on the Amendment of the Swiss Civil Code Part Five: The Code of Obligations, CC
220, as amended from time to time.
9 FinIA means Federal Act on Financial Institutions Financial Institutions Act, CC 954.1, as amended from time to time.
10 FINMA means the Swiss Financial Market Supervisory Authority.
11 FINMA Circular 2008/4 means the FINMA Circular 2008/4, Securities Journals.
12 FINMA Circular 2008/21
means the FINMA Circular 2008/21, Operational RiskBanks.
13 FINMA Circular 2010/1 means the FINMA Circular 2010/1, Remuneration schemes.
14 FINMA Circular 2013/8 means the FINMA Circular 2013/8, Market conduct rules, Supervisory rules on market conduct in securities trading.
15 FINMA Circular 2016/1 means the FINMA Circular 2016/1, DisclosureBanks.
16 FINMA Circular 2017/1 means the FINMA Circular 2017/1, Corporate GovernanceBanks.
17 FINMA Circular 2017/7 means the FINMA Circular 2017/7, Credit RiskBanks.
18 FINMA Circular 2018/3 means the FINMA Circular 2018/3, OutsourcingBanks and Insurers.
19 FINMA Circular 2020/1 means the FINMA Circular 2020/1, AccountingBanks.
20 FINMASA means the Federal Act on the Swiss Financial Market Supervisory Authority Financial Market Supervision Act, CC 956.1, as amended from time to time.
21 FinMIA means the Federal Act on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading Financial Market Infrastructure Act, CC 958.1, as amended from time to time.
22 FMIO means the Ordinance on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading Financial Market Infrastructure Ordinance, CC 958.11, as amended from time to time.

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