CFTC Staff Letters

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

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

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

Staff No-Action position regarding transfer of customer-owned securities by US FCM to a foreign broker.

DSIO’s interpretation of Regulation 23.451 clarifying staff’s view that a swap dealer’s contributions for transition or inaugural expenses incurred by a successful candidate are only covered by the rule to the extent that such expenses are incurred by a successful candidate for a position as an official of a governmental Special Entity.

No-action relief to DCOs, giving additional six months to begin reporting continuation data on swaps accepted for clearing, subject to certain conditions. Additional relief to all reporting counterparties on 11 new data elements for a period of three months subject to certain conditions.

No-action letter permitting a provision of the inter-affiliate exemption from required clearing (Commission regulation 50.52(b)(4)(ii)) to be relied upon for swaps executed between certain U.S. swap market participants and their affiliated counterparties located in Australia or Mexico, analogous to how this provision has been available for swaps with affiliated counterparties located in the European Union, Japan, and Singapore.

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).

No-action position regarding the consolidation of separate risk disclosure statements contained in Regulation 1.55(b) and Appendix A to Regulation 1.55 into a single risk disclosure statement

No-action letter again extending the time-limitation contained in an alternative compliance framework available to certain affiliated counterparties pursuant to Commission regulation 50.52(b)(4)(ii)-(iii).