Federal Register - August 6, 2021
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Source: Federal Register
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Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Notices
MiFID Org Reg articles 721 and 73; UK
MiFIR article 251; and UK EMIR
article 92; and 2 With respect to the requirements of Exchange Act rule 18a6b1vii, 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;
H The requirements of Exchange Act rule 18a6b1viii, provided that:
1 The Covered Entity is subject to and complies with the requirements of 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 VIIIXIII, as applicable; 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 The Covered Entity applies substituted compliance for the requirements of Exchange Act rule 18a 7a1, b, c through h, and Exchange Act rule 18a7j as applied to these requirements pursuant to this Order;
3 With respect to the requirements of Exchange Act rule 18a6b1viii, 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;
4 This Order does not extend to the requirements of Exchange Act rule 18a 6b1viiiL; and 5 This Order does not extend to the requirements of Exchange Act rule 18a 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 FCA SYSC 4.1.1R1, 6.1.1R, 7.1.4R, 9.1.1AR, 9.1.2R, and 10.1.7R; FCA
COBS 2.3A.32R; UK MiFID Org Reg articles 223c, 23, 24, 252, 26, 292c, 35, and 721; PRA Risk Control Rule 2.3; PRA Internal Capital Adequacy Assessment Rules 3 through 11; UK CRR articles 176, 286, and 2931d; UK EMIR RTS; PRA
Recordkeeping Rule 2.1 and 2.2; 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;
J The requirements of Exchange Act rule 18a6b1x, provided that:
1 The Covered Entity is subject to and complies with the requirements of PRA Internal Capital Adequacy Assessment Rules 3.1 and 13.2; PRA
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Recordkeeping Rules 2.1 and 2.2; FCA
SYSC 9.1.1AR and 9.1.2R; UK MiFID
Org Reg article 721; 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;
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 MLR 2017 Regulations 27 through 30;
PRA Recordkeeping Rule 2.1 and 2.2;
FCA SYSC 9.1.1AR and 9.1.2R; UK
MiFID Org Reg article 721; and UK
EMIR article 92, 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 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 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 PRA Recordkeeping Rules 2.1 and 2.2;
FCA SYSC 9.1.1AR and 9.1.2R; and UK
MiFID Org Reg articles 211f and 721; 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 FSMA sections 632A and 63F5; FCA
SYSC 9.1.1AR and 9.1.2R; UK MiFID
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Org Reg articles 35 and 721; and PRA
Recordkeeping Rules 2.1 and 2.2;
N The requirements of Exchange Act rule 18a6d2, 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 723;
and UK EMIR article 92; 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 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;
FCA SYSC 6.1.1R, 9.1.1AR, 9.1.2R, 10A.1.6R; PRA Recordkeeping Rules 2.1
and 2.2; UK MiFID Org Reg articles 211f, 72, and Annex I; 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;
P The requirements of Exchange Act rules 18a6d4 and d5, provided that:
1 The Covered Entity is subject to and complies with the requirements of FCA COBS 8A.1.9R; PRA
Recordkeeping Rules 2.1 and 2.2; FCA
SYSC 4.1.1R1, 6.1.1, 9.1.1AR, and 9.1.2R; UK MiFID Org Reg articles 24, 252, 721, and 73; and UK EMIR
article 92; 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 PRA Recordkeeping Rule 2.1; FCA SYSC 4.1.1R, 9.1.1AR, and 9.1.2R; and UK MiFID Org Reg articles 212, 58, 721, and 723; and R The requirements of Exchange Act rule 18a6f, provided that the Covered Entity is subject to and complies with the requirements of PRA Outsourcing Rule 2.1; FCA SYSC 8.1.1R; and UK
MiFID Org Reg articles 311.
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,
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