CFTC Staff Letters

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 29, 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 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.

Exemptive relief granted to a CPO of pools that began operations during the fourth quarter of 2015 from providing annual reports for fiscal year 2015; provided, that the CPO provide an annual report that covers the period from the beginning of operations to the end of fiscal year 2016 after the end of fiscal year 2016. The CPO has provided waivers from all participants of the pools.