CFTC Issues No-Action Letters to CPOs Regarding Periodic Reporting Requirements (CFTC Letters 15-16, 15-17, 15-18, 15-19 and 15-20)

The CFTC Division of Swap Dealer and Intermediary Oversight issued five separate no-action letters to CPOs regarding the reporting requirements in CFTC Rules 4.22 and 4.7.

In letters 15-16, 15-17 and 15-18, the CFTC granted no-action relief to three CPOs of commodity pools from Rule 4.22(d), which requires that the financial statements included in the pool's annual report be audited.

Additionally, in letters 15-19 and 15-20, the CFTC granted no-action relief to two CPOs of commodity pools that operate pursuant to an exemption under Rule 4.7(3). The relief allows the CPOs to file 14-month annual reports for their pools for the time periods specified in the letters.

See:CFTC Letter 15-16; CFTC Letter 15-17; CFTC Letter 15-18; CFTC Letter 15-19; CFTC Letter 15-20.