Letters

Date Title
18-10 PDF Image; CFTC Regulation 4.7(b)(3); Exemption
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.  
18-09 PDF Image; Commission Regulations 4.7 and 4.22;; Exemption
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
18-07 PDF Image; Regulations 4.12(a), 4.7(b)(3), and 140.93;; Exemption
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. 
18-06 PDF Image; Commission Regulation 4.7(b)(2);; Exemption
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.
18-05 PDF Image; Commission Regulation 4.7(b)(2); 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, 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.
17-44 PDF Image; Commission regulation 4.7(b)(2);; Exemption
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).
17-35 PDF Image; CFTC Regulations 39.11, 39.12, 39.13, 39.15, 39.19, and 39.21;; Exemption
Exemption from specified Part 39 regulations applicable to derivatives clearing organizations due to LedgerX’s fully-collateralized clearing model.
17-53 PDF Image; Regulation 4.7(b)(1), 4.7(b)(2), 4.7(b)(3);; Exemption
Exemptive Relief from certain Commission Regulation 4.7 reporting obligations as they relate to disclosure to pool participants
17-28 PDF Image; CFTC Regulation 4.7(b)(3);; Exemption
Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.
17-29 PDF Image; CFTC Regulation 4.7(b)(3);; Exemption
Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.