CFTC Staff Letters

Exemption Pursuant to Commission Regulation 1.16(f)(2) for Audit Standards Requirements for FCM Certified Financial Statements for Year Ending December 31, 2018.  

Commission Regulation 30.7 – Staff No-Action Position Regarding Futures Commission Merchant’s Deposit of Customer-Owned Securities as Margin with a Foreign Broker.  

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).  

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).

Rescission of CFTC Staff Letter No. 16-47

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

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.