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Federal Register / Vol. 86, No. 155 / Monday, August 16, 2021 / Notices
lotter on DSK11XQN23PROD with NOTICES1

certain Exchange Act section 15Fj requirements.
This Order extends to the following provisions related to internal supervision and compliance and Exchange Act section 15Fj requirements:
1 Internal supervision. The requirements of Exchange Act rule 15Fh3h and Exchange Act sections 15Fj4A and j5, provided that:
i The Covered Entity is subject to and complies with the requirements identified in paragraph c3 of this Order; and ii This paragraph c does not extend to the requirements of paragraph h2iiiI to rule 15Fh3 to the extent those requirements pertain to compliance with Exchange Act sections 15Fj2, j3, j4B and j6, or to the general and supporting provisions of paragraph h to rule 15Fh3 in connection with those Exchange Act sections.
2 Chief compliance officers. The requirements of Exchange Act section 15Fk and Exchange Act rule 15Fk1, provided that:
i The Covered Entity complies with the requirements identified in paragraph c3 of this Order;
ii All reports required pursuant to FINMA Circular 2017/1 margins 7881
must also:
A Be provided to the Commission at least annually, and in the English language;
B Include a certification signed by the chief compliance officer or senior officer as defined in Exchange Act rule 15Fk1e2 of the Covered Entity that, to the best of the certifiers knowledge and reasonable belief and under penalty of law, the report is accurate and complete in all material respects;
C Address the firms compliance with:
i Applicable requirements under the Exchange Act; and ii The other applicable conditions to this Order in connection with requirements for which the Covered Entity is relying on this Order;
D Be provided to the Commission no later than 15 days following the earlier of:
i The submission of the report to the Covered Entitys management body; or ii The time the report is required to be submitted to the management body;
and E Together cover the entire period that the Covered Entitys annual compliance report referenced in Exchange Act section 15Fk3 and Exchange Act rule 15Fk1c would be required to cover.

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3 Applicable supervisory and compliance requirements. Paragraphs c1 and c2 are conditioned on the Covered Entity being subject to and complying with the following requirements: BA articles 32c, and 3f;
BO articles 12, 14e, and 14g; FINMA
Circular 2017/1 articles 997; FINMA
Circular 2008/21 margins 5462, 6568, 121122, and 128136.5; FINMA
Circular 2013/8 margins 4561, 64;
FINMA Circular 2010/1 margins 1674;
and FINMA Circular 2018/3 margins 1435.
4 Additional condition to paragraph c1. Paragraph c1 further is conditioned on the requirement that the Covered Entity complies with the provisions specified in paragraph c3
as if those provisions also require compliance with:
i Applicable requirements under the Exchange Act; and ii The other applicable conditions to this Order in connection with requirements for which the Covered Entity is relying on this Order.
d Substituted compliance in connection with recordkeeping, reporting, and notification requirements.
This Order extends to the following provisions that apply to a Covered Entity related to recordkeeping, reporting, and notification:
1i Make and keep current certain records. The requirements of the following provisions of Exchange Act rule 18a5, provided that the Covered Entity complies with the relevant conditions in this paragraph d1i and with the applicable conditions in paragraph d1ii:
A The requirements of Exchange Act rule 18a5b1, provided that the Covered Entity is subject to and complies with the requirements of FMIOFINMA article 1; FinMIA articles 104 and 106; FMIO annex 2; CO article 958f;
B The requirements of Exchange Act rule 18a5b2, provided that the Covered Entity is subject to and complies with the requirements of CO
article 958f; AccO article 1; FinMIA
article 106;
C The requirements of Exchange Act rule 18a5b3, provided that the Covered Entity is subject to and complies with the requirements of CO
article 958f; FinMIA articles 104 and 106; FMIO annex 2;
D The requirements of Exchange Act rule 18a5b4, provided that the Covered Entity is subject to and complies with the requirements of FinMIA article 38; FMIO article 36;

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FinIA article 50; FMIOFINMA article 1; CO article 958f;
E The requirements of Exchange Act rule 18a5b5, provided that the Covered Entity is subject to and complies with the requirements of FMIO article 38; FinIA article 50;
FMIOFINMA article 1; CO article 958f;
F The requirements of Exchange Act rules 18a5b6 and b11, provided that:
1 The Covered Entity is subject to and complies with the requirements of FinMIA articles 106 and 108a; FMIO
article 95; CO article 958f; and 2 The Covered Entity applies substituted compliance for the requirements of Exchange Act rule 15Fi2 pursuant to this Order;
G The requirements of Exchange Act rule 18a5b7, provided that the Covered Entity is subject to and complies with the requirements of FMIO article 38; FinIA article 50;
FMIOFINMA article 1; FMIO annex 2;
FinMIA articles 104 and 106; AMLA
article 3; CO article 958f;
H The requirements of Exchange Act rule 18a5b8, provided that the Covered Entity is subject to and complies with the requirements of CO
article 958f; BA article 3; BO article 12;
CO article 330a; FINMA Circular 2008/
21, Annex 3, margins 3033;
I The requirements of Exchange Act rule 18a5b13, 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 FINMA Circular 2017/1; BA article 3;
CO article 958f, in each case with respect to the relevant security-based swap or activity;
2 With respect to the portion of Exchange Act rule 18a5b13 that relates to one or more provisions of Exchange Act rule 15Fh3 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 18a5b13 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;
J The requirements of Exchange Act rule 18a5b14i and ii, provided that:

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