No-action relief granted to two entities from registering as CPOs with respect to a commodity pool; provided, that they delegate their CPO responsibilities to a registered CPO, subject to certain conditions.
No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.
Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants within 45 days of the month end rather than quarterly account statement within 30 days of the quarter end pursuant to Commission regulation 4.7(b)(2).
The Division of Swap Dealer and Intermediary Oversight (DSIO) granted no-action relief from commodity pool operator (CPO) and commodity trading advisor (CTA) registration to a private university operating collective investment vehicles to manage assets belonging to its endowments, graduate and professional schools, and other university supporting organizations, as well as multiple charitable planned giving accounts, subject to certain conditions outlined in the letter.
No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.
Exemptive Relief from the Main Business Office Requirement in Commission Regulations 4.33 and 4.7(c)(2) to allow commodity trading advisors (CTAs) to use Third-party Recordkeepers.
Exemptive relief granted to a CPO from filing with NFA and distributing to NFA annual reports for certain subsidiary pools, subject to certain conditions.
The Division of Swap Dealer and Intermediary Oversight (DSIO) granted no-action relief from commodity pool operator (CPO) registration to two entities operating collective investment vehicles to manage the assets belonging to a university, its campuses, affiliated schools, and other supporting organizations, subject to certain conditions outlined in the letter.
No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.
No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.
