CFTC Staff Letters

CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.

PDF Description
PDF Image 16-14 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3)
Tags: Annual Report, CPO, Exemptions
Issuance Date:
Description:

A CPO requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow it to file an annual report for its exempt pool for the period from August 3, 2015, the date the pool began trading, to December 31, 2016. DSIO granted relief conditioned upon the future filing and distribution of a certified Annual Report for the period from August 3, 2015 to December 31, 2016.


PDF Image 16-13 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3)
Tags: Annual Report, CPO, Exemptions
Issuance Date:
Description:

A CPO requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow it to file an annual report for its exempt pool for the period from August 1, 2015, the date the pool began trading, to December 31, 2016. DSIO granted relief conditioned upon the future filing and distribution of a certified Annual Report for the period from August 1, 2015 to December 31, 2016.


PDF Image 16-12 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

Exemptive relief granted to a CPO of a pool from the audit requirement of Commission regulation 4.22(d) with respect to the pool’s 2015 annual report. The CPO has provided a waiver from the sole participant of the pool.


PDF Image 16-11 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2015 annual report of the pool. The CPO has provided a waiver from the sole participant of the pool.


PDF Image 16-05 Letter Type: No-Action, Exemption
Division: DCR
Regulation Parts: 1.20, 1.49, 22.5
Tags: Acknowledgement, Customer, FCM, Funds, Segregated
Issuance Date:
Description:

No-action relief for Eurex Clearing AG with regard to Regulation 1.20(g)(4), and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held at the Deutsche Bundesbank.


PDF Image 15-72 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags:
Issuance Date:
Description:

Exemptive Relief to Finisterre from 4.22 to Use IFRS


PDF Image 15-71 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags:
Issuance Date:
Description:

Exemptive Relief to Gavea from 4.22 to Use IFRS


PDF Image 15-70 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags:
Issuance Date:
Description:

Exemptive Relief to ABD from 4.22 to Use IFRS


PDF Image 15-59 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

Relief from the audit requirement of Commission regulation 4.22(d) for A with respect to B. You request on behalf of A, the commodity pool operator (the CPO) for B (the Pool), relief from the requirement in Commission regulation 4.22(d) to have an independent public accountant audit the financial statements in the Pools annual report for fiscal year 2014.


PDF Image 15-58 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags: CPO, Exemption
Issuance Date:
Description:

Request on behalf of A, that A receive the relief provided in CFTC Staff Letter No. 15-44 with respect to the additional pools listed in Appendix A (the Additional Pools) for which A serves as their registered commodity pool operator. Specifically, with respect to the Additional Pools, you request relief from the requirement in Commission regulation 4.7(b)(2) for a CPO to distribute to pool participants quarterly account statements within 30 days of the end of the quarter.