CFTC Staff Letters

Temporary no-action relief regarding custodial arrangements for swap dealers subject to September 1, 2016 compliance date for margin for uncleared swaps.

Interpretation of CFTC regulations 39.11(e)(1); 39.13(g)(10); 39.15(c) and (e); and 39.36(f) in light of amendments to Securities and Exchange Commission rule 2a-7.

No-Action relief for FCMs with respect to the investment of customer funds in certain money market funds under CFTC Regulation 1.25.

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 for a CPO to prepare financial statements in accordance with Luxembourg GAAP in lieu of US GAAP

Exemptive relief for a CPO from auditing a pool’s 2015 annual report.

Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers

The CPO of an exempt commodity pool requested relief permitting it to file for the pool a 15-month audited Annual Report, in order to facilitate the pool’s recent change in fiscal year.

Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.

Staff of the Division of Clearing and Risk prepared guidance to DCOs in order to aid DCOs in revising and improving their Recovery Plans and Wind-down Plans, and in preparing proposed rule submissions to implement their Recovery Plans and Wind-down Plans.