Title: 14-61


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Description

The operator of a commodity pool requested relief from the Annual Report filing and certification requirements in Regulations 4.22(c) and (d), or alternatively, relief allowing them to file a certified Annual Report covering the period from April 25, 2013, to December 31, 2014. Because the entity plans to request from the Division of Swap Dealer and Intermediary Oversight a determination that it is not a commodity pool, DSIO declined to grant the relief requested, as such relief would be conditioned on the future filing of an Annual Report in 2015, and instead granted exemptive relief from the certification requirement in Regulation 4.22(d), conditioned upon the CPO’s filing of an unaudited Annual Report for the 2013 fiscal year otherwise in compliance with Regulation 4.22(c).