Relief from the audit requirement of Commission regulation 4.22(d) for A with respect to B. You request on behalf of A, the commodity pool operator (the CPO) for B (the Pool), relief from the requirement in Commission regulation 4.22(d) to have an independent public accountant audit the financial statements in the Pools annual report for fiscal year 2014.
Request for Relief from Presenting Annual Reports in Accordance with A. May 19, 2015 letter to the Division of Swap Dealer and Intermediary Oversight, and amended by subsequent correspondence on September 11, 2015, requesting on behalf of B, the commodity pool operator of C (the Pool), requesting that the CPO be granted relief to use D in lieu of A in the preparation of the financial reports for the Pool.
Exemptive relief granted to a CPO of a pool that had all of its participants redeem out in 2014 from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual report of the pool that is filed with NFA.
Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual report of the pool. The CPO has provided a waiver from the sole outside participant of the pool.
Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual report of the pool. The CPO has provided a waiver from the sole participant of the pool.
Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual report of the pool. The CPO has provided a waiver from the sole participant of the pool.
Exemptive relief granted to a CPO of several pools organized in a three-level master-feeder structure from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual reports of the pools.
Exemptive relief that was provided in CFTC Staff Letter 14-49 was granted with respect to: (1) additional proprietary commodity pools operated by a CPO referenced in that letter; and (2) a proprietary commodity pool operated by another 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.
Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual report of the pool. The participants in the pool are the COO of the CPO and the COO’s self-directed IRA and the CPO has provided waivers from the participants.
Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the annual reports of the pool. The participants in the pool are three charitable remainder trusts formed by the sole owner and CEO of the CPO, who is also the sole income beneficiary of the trusts. The trustee of the trusts is the President of the CPO. The CPO has provided a waiver from the trustee.
