CFTC Staff Letters

CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.

PDF Description
PDF Image 15-57 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3), 4.22
Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting
Issuance Date:
Description:

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.


PDF Image 15-47 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.27
Tags: Large Pool, Reporting
Issuance Date:
Description:

DSIO provided a letter that exempts certain commodity trading advisors (CTAs) that are registered, but do not direct any client commodity interest accounts, from reporting on Form CTA-PR.


PDF Image 15-45 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3)
Tags: Annual Report, CPO, Exemptions
Issuance Date:
Description:

The CPO of two commodity pools, both exempt under Regulation 4.7, requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow the filing of an annual report for the pools for the period from October 2, 2014, the date the pools began trading, to December 31, 2015; DSIO granted relief pursuant to Regulations 4.12(a) and 140.93 conditioned upon the future filing and distribution of a certified Annual Report for that time period.


PDF Image 15-44 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags: CPO, Exemption
Issuance Date:
Description:

Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to a pool’s 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).


PDF Image 15-43 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

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.


PDF Image 15-42 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

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.


PDF Image 15-41 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

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.


PDF Image 15-40 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

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.


PDF Image 15-39 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22
Tags: Pool Participant, Reporting
Issuance Date:
Description:

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.


PDF Image 15-36 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3), 4.22
Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting
Issuance Date:
Description:

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.