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Federal Register / Vol. 86, No. 145 / Monday, August 2, 2021 / Notices 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 of 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 French 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 EMIR article 111b; EMIR RTS articles 12 and 13; MiFID Delegated Directive articles 2 and 8; Decree of 6 September 2017 articles 3 and 10; and AMF
General Regulation articles 3126 and 3127; 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.
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 MFC articles L. 53310

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II and L. 53310 III; 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; and iii Is an investment firm authorized by the ACPR to provide investment services or perform investment activities in the French Republic, or a credit institution authorized by the ACPR, after approval by the AMF of its program of operations, to provide investment services or perform investment activities in the French Republic, and supervised by the AMF
under its Tier 1 framework.
2 MiFID means the Markets in Financial Instruments Directive, Directive 2014/65/EU, as amended from time to time.
3 MFC means Frances Code monetaire et financier, as amended from time to time.
4 Internal Control Order means the French AMFs Arrete of 3 November 2014 on Internal Control of Companies in the Banking, Payment Services and Investment Services Sector Subject to
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the Supervision of the Authorite de Controle Prudentiel et de Resolution, as amended from time to time.
5 Prudential Supervision and Risk Assessment Order means the French ministerial order on prudential supervision and risk assessment, as amended from time to time.
6 MiFID Org Reg means Commission Delegated Regulation EU
2017/565, as amended from time to time.
5 MiFID Delegated Directive means Commission Delegated Directive EU 2017/593, as amended from time to time.
6 MLD means Directive EU
2015/849, as amended from time to time.
7 MiFIR means Regulation EU
600/2014, as amended from time to time.
8 EMIR means the European Market Infrastructure Regulation, Regulation EU 648/2012, as amended from time to time.
9 EMIR RTS means Commission Delegated Regulation EU 149/2013, as amended from time to time.
10 EMIR Margin RTS means Commission Delegated Regulation EU
2016/2251, as amended from time to time.
11 CRR Reporting ITS means Commission Implementing Regulation EU 680/2014, as amended from time to time.
12 CRD means Directive 2013/36/
EU, as amended from time to time.
13 CRR means Regulation EU
575/2013, as amended from time to time.
14 MAR means the Market Abuse Regulation, Regulation EU
596/2014, as amended from time to time.
15 MAR Investment Recommendations Regulation means Commission Delegated Regulation EU
2016/958, as amended from time to time.
16 AMF means the French Autorite des Marches Financiers.
17 ACPR means the French Authorite de Controle Prudentiel et de Resolution.
18 ECB means the European Central Bank.
19 Accounting Directive means Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013, as amended from time to time.
20 Decree of 6 September 2017
means Frances Decree number 2017
1324 of 6 September 2017, as amended from time to time.
21 AMF General Regulation means Frances Reglement General de LAutorite des Marches Financiers, as amended from time to time.

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