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 16-90 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags:
Issuance Date:
Description:

Exemptive relief from the provisions of Commission Regulations 4.7 and 4.22 to prepare an onshore feeder fund’s financial statements in accordance with U.S. GAAP


PDF Image 16-89 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags:
Issuance Date:
Description:

Exemptive relief from the provisions of Commission Regulations 4.7 and 4.22 to prepare an onshore feeder fund’s financial statements in accordance with U.S. GAAP


PDF Image 16-83 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 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).


PDF Image 16-67 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 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).


PDF Image 16-66 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 for a CPO to prepare financial statements in accordance with Luxembourg GAAP in lieu of US GAAP


PDF Image 16-65 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

Exemptive relief for a CPO from auditing a pool’s 2015 annual report.


PDF Image 16-63 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3), 4.12, 4.22
Tags: Annual Report, CPO, Exemption, Exemptions, Pool Participant, Reporting
Issuance Date:
Description:

The CPO of an exempt commodity pool requested relief permitting it to file for the pool a 15-month audited Annual Report, in order to facilitate the pool’s recent change in fiscal year.


PDF Image 16-59 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 Chicago Mercantile Exchange, Inc. 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 Bank of Canada.


PDF Image 16-57 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3), 4.22
Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting
Issuance Date:
Description:

Exemptive relief for a CPO from auditing a pool’s 2015 annual report.


PDF Image 16-55 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.12, 4.22
Tags: Exemption, Pool Participant, Reporting
Issuance Date:
Description:

Exemptive relief for a CPO from auditing a pool’s 2015 annual report.