23-04

Title: 23-04







Description

Exemptive relief for a CPO from the requirement to provide quarterly account statements within 30 days of the end of each quarter for certain pools, provided that the CPO provides monthly account statements within 45 days of the end of each month for such pool.

20-11

Title: 20-11







Description

No-action positions for commodity pool operators in response to the COVID-19 pandemic

18-10

Title: 18-10







Description

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.  

18-07

Title: 18-07







Description

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. 

17-41

Title: 17-41







Description

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

Title: 17-29







Description

Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.

17-28

Title: 17-28







Description

Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.

17-20

Title: 17-20







Description

Exemptive relief from the requirement in Commission Regulations 4.7(b)(3) and 4.22(c) to provide an audited Annual Report and Financial Statements when liquidating a commodity pool, if the pool instead provides a combined 13 month Annual Report and Financial Statements.

16-66

Title: 16-66







Description

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

16-63

Title: 16-63







Description

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.