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khammond on DSKJM1Z7X2PROD with NOTICES3

Federal Register / Vol. 86, No. 145 / Monday, August 2, 2021 / Notices 6b1viiiM relating to Exchange Act rule 18a2.
I The requirements of Exchange Act rule 18a6b1ix, provided that:
1 The Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 223c, 23, 24, 252, 26, 292c, 35 and 721; CRR
articles 176, 286 and 2931d; EMIR
RTS; EMIR article 92; MiFID articles 162, 163, 165, 249; MiFID
Delegated Directive article 11; CRD
article 73, 7587; MFC articles L. 511
411B, L. 51151 through L. 51188, L.
53310 I and II, L. 5332, L. 53322, and L. 533124; AMF General Regulation articles 31416, 31417;
Ministerial Order on the Supervisory Review and Evaluation Process; and Internal Control Order articles 94
through 96 and 99 through 102; 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 18a6b1x, provided that:
1 The Covered Entity is subject to and complies with the requirements of EMIR article 92; MiFID Org Reg article 721; CRD article 73; MiFID article 166; MFC articles L. 511411B, L.
51151 through L. 51188, L. 53322, L. 53310 II; Ministerial Order on the Supervisory Review and Evaluation Process; and Internal Control Order articles 94 through 96 and 99 through 102; 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;
K The requirements of Exchange Act rule 18a6b1xii or b2vii, 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 EMIR article 92; MLD articles 11 and 13; MiFID Org Reg article 721; MiFID
article 166; and MFC articles L. 533
10 II, L. 56141, L. 5615, L. 5615
1, 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, 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 18a6b1xii or b2vii that relates to Exchange Act rule 15Fh3, the Covered Entity applies substituted compliance for such business conduct standards of
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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 18a6b1xii or b2vii, as applicable, 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;
L The requirements of Exchange Act rule 18a6c, provided that:
1 The Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 211f and 721; MiFID article 166; and MFC
article L. 53310 II; 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;
M The requirements of Exchange Act rule 18a6d1, provided that the Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 35 and 721;
CRD articles 88, 911, 918; MiFID
article 91, 163, 166; and MFC
articles L. 51155 through L. 51170, L.
51189 through L. 511103, L. 53310
II, L. 53325;
N The requirements of Exchange Act rule 18a6d2, provided that:
1 The Covered Entity is subject to and complies with the requirements of EMIR article 92; MiFID Org Reg articles 721 and 723; MiFID article 166; and MFC article L. 53310 II; and 2 With respect to the requirements of Exchange Act rule 18a6d2i, 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;
O The requirements of Exchange Act rule 18a6d3, provided that:
1 The Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 211f, 72, 73, and Annex I; MiFID article 166; and MFC article L. 53310 II; and 2 With respect to the requirements of Exchange Act rule 18a6d3i, 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;

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P The requirements of Exchange Act rule 18a6d4 and d5, provided that:
1 The Covered Entity is subject to and complies with the requirements of EMIR article 92; MiFID Org Reg articles 24, 252, 721 and 73; MiFID
articles 162, 166, and 255; and MFC
articles L. 53310, L. 53314; and 2 The Covered Entity applies substituted compliance for Exchange Act rules 15Fi3, 15Fi4, and 15Fi5
pursuant to this Order;
Q The requirements of Exchange Act rule 18a6e, provided that the Covered Entity is subject to and complies with the requirements of MiFID Org Reg articles 212, 58, 721 and 723; MiFID
articles 165, 166; and MFC articles L.
5332, L. 53310 II; and R The requirements of Exchange Act rule 18a6f, provided that the Covered Entity is subject to and complies with the requirements of MiFID Org Reg article 311; MiFID article 165; and MFC articles L. 5332 and L. 53310 II.
ii Paragraph f2i is subject to the following further conditions:
A A Covered Entity may apply the substituted compliance determination in paragraph f2iK to records related to Exchange Act rule 15Fh3b, c, e, f and g in respect of one or more security-based swaps or activities related to security-based swaps; and B This Order does not extend to the requirements of Exchange Act rule 18a 6b1xi, b1xiii, b2v, 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 f3:
i The requirements of Exchange Act rule 18a7a1 or a2, as applicable, and the requirements of Exchange Act rule 18a7j as applied to the requirements of Exchange Act rule 18a 7a1 or a2, as applicable, provided that:
A The Covered Entity is subject to and complies with the requirements of CRR articles 99, 394, 430 and Part Six:
Title II and Title III; CRR Reporting ITS
annexes I, II, III, IV, V, VIII, IX, X, XI, XII and XIII, as applicable;
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 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
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