Jurisdiction-Specific Applications, Orders and Memoranda of Understanding
June 14, 2024
Substituted Compliance Applications Submitted to the Commission
- Application of the Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution
(December 9, 2020) - Notice and Proposed Order
(December 22, 2020) - Reopening of Comment Period for Notice and Proposed Order
(April 5, 2021) - Final Order
(July 23, 2021) - Amendment of Final Order
(October 22, 2021) - Substituted Compliance Memorandum of Understanding with the Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution
(July 23, 2021) - Substituted Compliance Memorandum of Understanding with the European Central Bank
(August 16, 2021)
- Application of Bundesanstalt für Finanzdienstleistungsaufsicht
(November 6, 2020) - Notice and Proposed Order
(November 9, 2020) - Final Order
(December 22, 2020) - Amended Application of Bundesanstalt für Finanzdienstleistungsaufsicht
(August 12, 2021) - Notice and Proposed Amended Order
(August 12, 2021) - Final Amended and Restated Order
(October 22, 2021) - Substituted Compliance Memorandum of Understanding with Bundesanstalt für Finanzdienstleistungsaufsicht
(December 18, 2020) - Substituted Compliance Memorandum of Understanding with the European Central Bank
(August 16,& 2021)
- Application of the Comisón Nacional del Mercado de Valores
(August 20, 2021) - Notice and Proposed Order
(August 20, 2021) - Final Order
(October 22, 2021) - Substituted Compliance Memorandum of Understanding with the Comisión Nacional del Mercado de Valores and the Banco de España
(October 21, 2021) - Substituted Compliance Memorandum of Understanding with the European Central Bank
(August 16,& 2021)
- Application of Credit Suisse AG and UBS AG
Annex 1
Annex 2
(August 10, 2021) - Notice and Proposed Order
(August 10, 2021) - Final Order
(October 8, 2021) - Substituted Compliance Memorandum of Understanding with the Swiss Financial Market Supervisory Authority
(October 8, 2021)
- Application of the Financial Conduct Authority
(March 19, 2021) - Notice and Proposed Order
(April 5, 2021) - Final Order
(July 30, 2021) - Amendment of Final Order
(October 22, 2021) - Substituted Compliance Memorandum of Understanding with the Financial Conduct Authority and the Bank of England
(July 30, 2021)
Last Reviewed or Updated: July 10, 2024