Notice of Substituted Compliance Application Submitted by the Bundesanstalt für Finanzdienstleistungsaufsicht in Connection With Certain Requirements Applicable to Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Order
The Securities and Exchange Commission (``Commission'' or ``SEC'') is soliciting public comment on an application by the Bundesanstalt f[uuml]r Finanzdienstleistungsaufsicht (``BaFin'') requesting that, pursuant to rule 3a71-6 under the Securities Exchange Act of 1934 (``Exchange Act''), the Commission determine that registered security-based swap dealers and registered major security- based swap participants (``SBS Entities'') that are not U.S. persons and that are subject to certain regulation in the Federal Republic of Germany (``Germany'') may comply with certain requirements under the Exchange Act via compliance with corresponding requirements of Germany and the European Union. The Commission also is soliciting comment on a proposed Order providing for the conditional availability of substituted compliance in connection with the application.
Asset Management Advisory Committee
Notice is being provided that the Securities and Exchange Commission Asset Management Advisory Committee (``AMAC'') will hold a public meeting on December 1, 2020, by remote means. The meeting will begin at 9:00 a.m. (ET) and will be open to the public via webcast on the Commission's website at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The meeting will include a discussion of matters in the asset management industry relating to the Private Investments Subcommittee; the ESG Subcommittee, including potential recommendations from that Subcommittee; and the Diversity & Inclusion Subcommittee, including a panel discussion on improving diversity and inclusion. The meeting will also include a discussion of AMAC's administrative matters during a portion of the meeting that will not be open to the public.