02.14 – US Regulations Exemptions available to UK Financial Institutions

The following sections cover the categories of Deemed-Compliant Financial Institutions set out in the US Regulations which are available to UK Financial Institutions as permitted by the terms of the Agreement.

  • Registered Deemed Compliant Financial Institutions, (Section 2.15)
  • Certified Deemed-Compliant Financial Institutions (Section 2.21)
  • Owner Documented Financial Institutions. (Section 2.25)
  • Non-Registering Local Banks (Section 2.22)
  • Financial Institutions with only Low-Value Accounts (Section 2.23)
  • Limited Life Debt Investment Vehicles (Section 2.25(a))
  • Excepted Inter-affiliate FIs (Section 2.25(b))
  • Investment Advisers and Investment Managers (Section 2.28(a))