Federal Register - August 2, 2021
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Source: Federal Register
khammond on DSKJM1Z7X2PROD with NOTICES3
Federal Register / Vol. 86, No. 145 / Monday, August 2, 2021 / Notices EMIR article 394; Decree of 6
September 2017 article 3; and AMF
General Regulation article 3126; and 2 With respect to the requirements of Exchange Act rule 18a5a3, 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;
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 CRR article 103; MiFID articles 166, 255, and 256; MiFID Org Reg articles 59, 74, 75 and Annex IV; MiFIR article 251; EMIR articles 92 and 111a;
MFC article L. 53310 II, L. 53314, L.
53315; and Internal Control Order articles 85, 86, 92, and 93; 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 MiFID Org Reg article 59; EMIR articles 92 and 111a; MiFID articles 166, 255, and 256; and MFC articles L.
53310 I and II, L. 53314, and L. 533
15;
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 MiFID Org Reg articles 74, 75, and Annex IV; MiFIR article 251; and Internal Control Order articles 85, 86, 92, and 93; 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 CRR articles 103, 1053, and 10510;
CRD article 73; MiFID articles 166, 255, 256; MiFID Delegated Directive article 2; MiFID Org Reg articles 59, 74, 75, and Annex IV; MiFIR article 251;
EMIR articles 92, 111a, and 394;
MFC articles L. 511411B, L. 51151
to L. 51188, L. 53322, L. 53310 II, L. 53313, L. 53314, L. 53315;
Internal Control Order articles 85, 86,
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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; 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:
1 The Covered Entity is subject to and complies with the requirements of MiFIR article 251; MLD4 articles 11
and 13; MiFID article 252; Internal Control Order articles 85, 86, 92, and 93;
and MFC articles L. 53313, L. 5614
1, L. 5615, L. 56151, L. 5616, R.
5615, R. 56151, R. 56152, R. 561
53, R. 5617, R. 56110 II, R. 56110
3, R. 561111, R. 56112, R. 56115, R.
56116, R. 56118, R. 56119; 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;
MiFID Org Reg articles 59, 74, 75 and Annex IV; MiFIR article 251; EMIR
articles 92, 111a, and 394; MiFID
articles 166, 255, and 256; CRD
article 73; MiFID Delegated Directive article 2; MFC articles L. 511411B, L.
51151 through L. 51188, L. 53322, L. 53310 II, L. 53313, L .53314, L.
53315; 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; 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 CRD article 73; MiFID Delegated Directive article 2; EMIR article 394;
MiFID Org Reg articles 72, 74, and 75;
MFC article L. 511411B; Decree of 6
September 2017 article 3; and AMF
General Regulation article 3126;
2 The Covered Entity applies substituted compliance for the requirements of Exchange Act section 15Fe and Exchange Act rules 18a1
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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 rule 18a5a10 and b8, provided that the Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 211d, 35; CRD
articles 88, 911, 918; MiFID articles 91 and 163; MFC articles L. 51155
through L. 51170, L. 51189 through L.
511103, and L. 53325; and Internal Control Order articles 85, 86, 92, and 93;
L The requirements of Exchange Act rule 18a5a12, provided that:
1 The Covered Entity is subject to and complies with the requirements of CRR articles 103, 1053 and 10510;
MiFID Org Reg. articles 72, 74 and 75;
CRD article 73; MiFID Delegated Directive article 2; MFC article L. 511
411B; Decree of 6 September 2017
article 3; and AMF General Regulation article 3126;
2 The Covered Entity applies substituted compliance for the requirements of Exchange Act section 15Fe and Exchange Act rule 18a3
pursuant to this Order;
M The requirements of Exchange Act rule 18a5a17 and b13, as applicable, regarding one or more provisions of Exchange Act rules 15Fh 3 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 MiFID Org Reg articles 72, 73, and Annex I; MiFID articles 166 and 252;
MLD articles 11 and 13; EMIR article 395; and MFC article L. 53310 II, L.
53313, L. 56141, L. 5615, L. 561
51, L. 5616, R. 5615, R. 56151, R.
56152, R. 56153, R. 5617, R. 561
10 II, R. 561103, R. 561111, R. 561
12, R. 56115, R. 56116, R. 56118, and R. 56119, in each case with respect to the relevant security-based swap or activity;
2 With respect to the portion of Exchange Act rule 18a5a17 and b13 that relates to Exchange Act rule 15Fh3, 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 18a5a17 and b13 that relates to Exchange Act rule 15Fk1, the Covered Entity applies substituted compliance for Exchange
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