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Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Notices 10510; PRA Internal Capital Adequacy Assessment Rule 3.1; and MiFID Org Reg. articles 72, 74, and 75;
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 rules 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 FCA COND at paragraphs 2C, 2D, 3B, 3C, 5D, and 5F; PRA Fundamental Rules 2 and 6; FCA PRIN 2.1.1.R2 and 3;
PRA Recordkeeping Rule 2.1; FCA
SYSC 9.1.1AR; FCA COBS 9A.2.1R, UK
MiFID Org Reg articles 72, 73, and Annex I; and UK EMIR article 395, in each case with respect to the relevant security-based swap or activity;
2 With respect to the portion of Exchange Act rules 18a5a17 and b13 that relates to one or more provisions of Exchange Act rule 15Fh 3 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 rules 18a5a17 and b13 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;
N The requirements of Exchange Act rules 18a5a18i and ii or b14i and ii, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of UK EMIR article 111b and UK EMIR
RTS article 151a; and 2 The Covered Entity applies substituted compliance for Exchange Act rule 15Fi3 pursuant to this Order;
and O The requirements of Exchange Act rule 18a5a18iii or b14iii, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of UK EMIR article 111b and UK EMIR
RTS article 151a, in each case with respect to such security-based swap portfolios; and 2 The Covered Entity applies substituted compliance for Exchange Act rule 15Fi4 pursuant to this Order.

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ii Paragraph f1i is subject to the following further conditions:
A Paragraphs f1iA through D
and H 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 f1iM to records of compliance with 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 C This Order does not extend to the requirements of Exchange Act rule 18a 5a13, a14, a16, b9, 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 f2i and with the applicable conditions in paragraph f2ii:
A The requirements of Exchange Act rule 18a6a1 or a2, as applicable, provided that the Covered Entity is subject to and complies with the requirements of UK MiFID Org Reg articles 72, 74, 75, and Annex IV; FCA
SYSC 9.1.1AR and 9.1.2R; FSMA
section 165; PRA Internal Capital Adequacy Assessment Rule 3.1; PRA
Fundamental Rules 2 and 6; PRA
Recordkeeping Rules 2.1 and 2.2; FCA
PRIN 2.1.1.R2 and 3; FCA CASS 6, 7, 10.1.3R, 10.1.7, and 10.1.9E; UK CRR
article 103; FCA COND at paragraphs 2C, 2D, 3B, 3C, 5D, and 5F; UK MiFIR
article 251; and UK EMIR article 92;
B The requirements of Exchange Act rule 18a6b1i or b2i, as applicable, provided that the Covered Entity is subject to and complies with the requirements of UK MiFID Org Reg articles 72, 74, 75, and Annex IV; FCA
SYSC 9.1.1AR and 9.1.2R; FSMA
section 165; PRA Internal Capital Adequacy Assessment Rule 3.1; PRA
Fundamental Rules 2 and 6; PRA
Recordkeeping Rules 2.1 and 2.2; FCA
PRIN 2.1.1.R2 and 3; FCA CASS 6, 7, 10.1.3R, 10.1.7, and 10.1.9E; UK CRR
article 103; FCA COND at paragraphs 2C, 2D, 3B, 3C, 5D, and 5F; UK MiFIR
article 251; and UK EMIR article 92;
C The requirements of Exchange Act rules 18a6b1ii and iii, provided that:
1 The Covered Entity is subject to and complies with the requirements of
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PRA Internal Capital Adequacy Assessment Rule 3.1; FCA CASS 6, 7, 10.1.3R, 10.1.7, and 10.1.9E; UK MiFID
Org Reg articles 72, 74, and 75; PRA
Recordkeeping Rules 2.1 and 2.2; FCA
SYSC 9.1.1AR and 9.1.2R; and UK EMIR
article 92; 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;
D The requirements of Exchange Act rule 18a6b1iv or b2ii, as applicable, provided that the Covered Entity is subject to and complies with the requirements of PRA Fundamental Rules 2 and 6; PRA Recordkeeping Rules 2.1 and 2.2; UK CRR article 103;
FCA SYSC 9.1.1AR, 9.1.2R, 10A.1.6R, and 10A.1.8R; UK MiFID Org Reg articles 72, 73, 74, 75, 76, Annex I, and Annex IV; UK MiFIR article 251; and UK EMIR article 92;
E The requirements of Exchange Act rule 18a6b1v, provided that:
1 The Covered Entity is subject to and complies with the requirements of UK EMIR article 92; UK CRR articles 99, 294, 394, 415, 430, and Part Six:
Title II and Title III; UK CRR Reporting ITS article 14 and annexes IV and VIII
XIII; PRA Recordkeeping Rules 2.1 and 2.2; FCA SYSC 9.1.1AR and 9.1.2R; and UK MiFID Org Reg article 721;
2 With respect to the requirements of Exchange Act rule 18a6b1v, the Covered Entity applies substituted compliance for the requirements of Exchange Act section 15Fe and Exchange Act rules 18a1 through 18a 1d pursuant this Order; and 3 This Order does not extend to the requirements of Exchange Act rule 18a 6b1v relating to Exchange Act rule 18a2;
F The requirements of Exchange Act rule 18a6b1vi or b2iii, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Recordkeeping Rules 2.1 and 2.2;
FCA SYSC 9.1.1AR and 9.1.2R; UK
MiFID Org Reg articles 721 and 73;
and UK EMIR article 92; and 2 With respect to the requirements of Exchange Act rule 18a6b1vi, 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 rule 18a6b1vii or b2iv, as applicable, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Recordkeeping Rules 2.1 and 2.2;
FCA SYSC 9.1.1AR and 9.1.2R; UK

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