A CPO requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow it to file an annual report for its exempt pool for the period from December 23, 2015, the date the pool began trading, to December 31, 2016. DSIO granted relief conditioned upon the future filing and distribution of a certified Annual Report covering that period.
A CPO requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow it to file an annual report for its exempt pool for the period from November 2, 2015, the date the pool began trading, to December 31, 2016. DSIO granted relief conditioned upon the future filing and distribution of a certified Annual Report for that 14-month period
The CPO of an exempt pool, with the CPO as the only participant, requested relief from the audit requirement in Regulations 4.7(b)(3) and 4.22(d)(1). DSIO granted relief for the pool’s 2015 annual report, conditioned upon the filing of an uncertified annual report for the 2015 fiscal year that otherwise complies with Regulation 4.7(b)(3).
Exemptive relief for a CPO from auditing a pool’s 2015 annual report.
Exemptive relief for a CPO from auditing a pool’s 2015 annual report.
Exemptive relief for a CPO from auditing a pool’s 2015 annual report
Exemptive relief for a CPO from auditing a pool’s 2015 annual report.
Exemptive relief for a CPO from auditing a pool’s 2015 annual report.
The CPO of a commodity pool requested, and DSIO granted pursuant to Regulations 4.12(a) and 140.93, relief from Regulations 4.7(b)(3) and 4.22(d), which require the filing and distribution of audited financial statements, for fiscal year 2015 and requested to be permitted to file with NFA and distribute to participants audited financial statements for the pool covering the period from July 21, 2015 to December 31, 2016.
Exemptive relief that was provided in CFTC Staff Letter 14-49 was granted with respect to additional proprietary commodity pools operated by a CPO referenced in that letter. The CPOs provided the same representations provided in CFTC Staff Letter 14-49 and represented that they would comply with the conditions of the relief provided in that letter.
