CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
---|---|
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 |
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 |
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 |
15-69 | Letter Type: No-Action Division: DMO, DCR, DSIO Regulation Parts: 4(c) Tags: Foreign Transactions Issuance Date: Description: Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants |
15-66 | Letter Type: Advisories Division: DSIO Regulation Parts: 23.204, 23.205 Tags: Real-Time, Reporting, SDR Issuance Date: Description: Proper reporting of swaps is an important obligation of SDs and MSPs. Firms should ensure that they have the systems and controls to properly report and to timely identify and correct any errors. Firms should periodically test their systems to ensure that the information is being properly transmitted. Further, any changes in systems that could have an effect on proper reporting should be tested and verified prior to any such changes. |
15-65 | Letter Type: No-Action Division: DMO, DSIO Regulation Parts: 1.35 Tags: Cash, Forward Issuance Date: Description: As the Commission continues to consider the issues in the Proposed Amendment, the Divisions believe an extension of the no-action relief in CFTC Staff Letter No. 14-147 is warranted. Accordingly, with respect to Regulation 1.35(a), the Divisions will not recommend an enforcement action against a CTA that is a member of a DCM or of a SEF for failure to maintain records of oral communications and will not recommend an enforcement action against a market participant subject to Regulation 1.35(a) on the grounds that its records of oral and written communications that lead to the execution of a transaction are not linked to or otherwise identified with a particular transaction. |
15-64 | Letter Type: No-Action Division: DMO, DCR, DSIO Regulation Parts: 23.202, 23.205, 23.500, 23.501, 23.502, 23.503, 23.504, 23.505, 23.506, 23.610, 23.700, 23.701, 23.702, 23.703, 23.704, 37.12, 38.11, 43, 50 Tags: Clearing Requirement, Execution, Portfolio, Public, Real-Time, Reporting, Segregated, Segregation, Swap Issuance Date: Description: Wells Fargo requests no-action relief permitting the London Branch and its counterparties to comply with the relevant requirements applicable to its Foreign Clients in lieu of the Commissions Transaction-Level Requirements. Wells Fargo requests the no-action relief only with respect to swaps between the London Branch and its Foreign Clients. Based on the foregoing and the representations made by Wells Fargo, the Divisions believe that granting no-action relief is warranted. |
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. |
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. |
15-57 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Request for Relief from Presenting Annual Reports in Accordance with A. May 19, 2015 letter to the Division of Swap Dealer and Intermediary Oversight, and amended by subsequent correspondence on September 11, 2015, requesting on behalf of B, the commodity pool operator of C (the Pool), requesting that the CPO be granted relief to use D in lieu of A in the preparation of the financial reports for the Pool. |