No-action relief granted to an entity from CPO registration with respect to a commodity pool for which it serves as trustee; provided, that it delegates the CPO responsibilities to a registered CPO, subject to certain conditions.
No-action relief granted to an entity from CPO registration with respect to several commodity pools for which it serves as trustee; provided, that it delegates the CPO responsibilities to a registered CPO, subject to certain conditions.
No-action relief for non-U.S. persons that are neither guaranteed affiliates nor conduit affiliates of a U.S. person from the requirement to count swaps with international financial institutions towards the de minimis thresholds for the swap dealer and major swap participant definitions.
Previous annual report exemptive relief granted to a CPO extended to an additional subsidiary pool; condition in previous exemptive relief with respect to an existing subsidiary pool removed based on changed circumstances.
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
The Division of Swap Dealer and Intermediary Oversight provided no-action relief from CPO and CTA registration to the trustee of a pension plan group trust comprised solely of pension plans that are “not construed to be pools” under Regulation 4.5(a)(4)(i)-(iii).
DSIO denied a CPO’s request for exemptive relief from the audited annual report requirement for its pools because Division staff concluded that avoiding the audit could be disadvantageous for participants.
Exemption Exemptive relief from the requirement in Commission regulation 4.7(b)(2) to distribute quarterly account statements to participants within 30 days after the end of each quarter, instead providing information within 45 days after the end of each month.
Exemptive relief from the requirement in Commission regulation 4.7(b)(2) to distribute quarterly account statements to participants within 30 days after the end of each quarter. Instead, the operator will provide the information required to be contained in a quarterly account statement on a monthly basis, and within 45 days after the end of each month.
