CFTC Staff Letters

Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers

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.

Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.

Staff of the Division of Clearing and Risk prepared guidance to DCOs in order to aid DCOs in revising and improving their Recovery Plans and Wind-down Plans, and in preparing proposed rule submissions to implement their Recovery Plans and Wind-down Plans.

Staff Advisory that reminds: (1) futures commission merchants (FCMs) and introducing brokers (IBs) of their obligations to report suspicious activities as required by a regulation issued by the Financial Crimes Enforcement Network under the Bank Secrecy Act; and (2) FCMs, IBs and all other persons registered or required to be registered with the Commission to comply with the economic sanctions programs imposed against countries and groups of individuals that appear at 31 C.F.R. Chapter V. Advisory.

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.

DMO and DCR are extending the relief provided in CFTC Letter No. 15-24 and enabling SEFs and DCMs to address clerical and operational errors.

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

Time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.

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