CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
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15-44 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7 Tags: CPO, Exemption Issuance Date: Description: Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to a pool’s participants within 45 days of the month end rather than quarterly account statement within 30 days of the quarter end pursuant to Commission regulation 4.7(b)(2). |
15-43 | 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 that had all of its participants redeem out in 2014 from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual report of the pool that is filed with NFA. |
15-42 | 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 2014 annual report of the pool. The CPO has provided a waiver from the sole outside participant of the pool. |
15-41 | 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 2014 annual report of the pool. The CPO has provided a waiver from the sole participant of the pool. |
15-40 | 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 2014 annual report of the pool. The CPO has provided a waiver from the sole participant of the pool. |
15-39 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.22 Tags: Pool Participant, Reporting Issuance Date: Description: Exemptive relief granted to a CPO of several pools organized in a three-level master-feeder structure from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual reports of the pools. |
15-38 | Letter Type: No-Action Division: DMO Regulation Parts: 45.4 Tags: Reporting, Swap Data Issuance Date: Description: Further extension of no-action relief originally granted by DMO on December 17, 2012 (previously extended on June 26, 2013 and June 30, 2014) to SD and MSP reporting counterparties for cleared swaps from valuation data reporting required in section 45.4(b)(2)(ii) of the Commission’s regulations. |
15-37 | Letter Type: No-Action Division: DSIO Regulation Parts: 4d, 4m Tags: CPO, CTA, FCM, IB, Interstate, Unregistered Issuance Date: Description: No-Action Relief from Introducing Broker and Commodity Trading Advisor registration for persons located outside the United States in connection with certain activities for customers that are International Financial Institutions. |
15-36 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Exemptive relief that was provided in CFTC Staff Letter 14-49 was granted with respect to: (1) additional proprietary commodity pools operated by a CPO referenced in that letter; and (2) a proprietary commodity pool operated by another CPO referenced in that letter. The CPOs provided the same representations provided in CFTC Staff Letter 14-49 and represented that they would comply with the conditions of the relief provided in that letter. |
15-35 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, 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 2014 annual report of the pool. The participants in the pool are the COO of the CPO and the COO’s self-directed IRA and the CPO has provided waivers from the participants. |