Other
Substituted Compliance Notices
May 30, 2024
Every security-based swap dealer and major security-based swap participant that relies on a substituted compliance order must, pursuant to that order, provide notice of its intent to rely on that order by notifying the Commission in writing. Firms relying on a substituted compliance order should consult the relevant order for a description of the information that the notice must include.
A substituted compliance notice, and any amendment of a substituted compliance notice, may be submitted to the Commission at Secretarys-office@sec.gov with the subject line “Substituted Compliance Notice.”
Substituted compliance notices submitted to the Commission will be published below. The Commission will not ordinarily provide a separate confirmation of submission.
Substituted Compliance Notices Submitted to the Commission
2024
- UBS AG, April 30, 2024
- Goldman Sachs Bank Europe SE, April 3, 2024
- Goldman Sachs International, April 3, 2024
- Nomura International plc, February 4, 2024
2023
- Citigroup Global Markets Limited, December 29, 2023
- Goldman Sachs International, March 30, 2023
- Goldman Sachs Bank Europe SE, March 30, 2023
- Nomura International plc, February 8, 2023
2022
- Morgan Stanley Europe SE, December 12, 2022
- Banco Santander, S.A., March 28, 2022
- Citigroup Global Markets Europe AG, January 5, 2022
2021
- Nomura International plc, December 9, 2021
- Morgan Stanley & Co. International plc, December 1, 2021
- BNP Paribas, November 29, 2021
- MUFG Securities EMEA Plc, November 10, 2021
- Credit Suisse AG, November 2, 2021
- Credit Suisse International, November 2, 2021
- Citigroup Global Markets Limited, November 1, 2021
- Barclays Bank PLC, November 1, 2021
- Standard Chartered Bank, November 1, 2021
- UBS AG, October 31, 2021
- Morgan Stanley & Co. International plc, October 29, 2021
- HSBC Bank plc, October 29, 2021
- Deutsche Bank AG, October 29, 2021
- Morgan Stanley Europe SE, October 29, 2021
- Goldman Sachs Bank Europe SE, October 28, 2021
- Goldman Sachs International, October 28, 2021
- Société Générale SA, October 28, 2021
- Natixis SA, October 27, 2021
- MUFG Securities EMEA Plc (“MUSE”), October 27, 2021
- BofA Securities Europe SA, October 21, 2021
- Merrill Lynch International, October 21, 2021