Jurisdiction-Specific Applications, Orders and Memoranda of Understanding

Substituted Compliance Applications Submitted to the Commission

• France
• Germany
• Spain
• Switzerland
• United Kingdom

France  

• 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)

Germany 

• 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)

Spain 

• 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)

Switzerland 

• 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)

United Kingdom 

• 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)