CFTC Letter No. 19-01 Exemption January 28, 2019 Division of Swap Dealer and Intermediary Oversight Re: Exemptive Relief Request Concerning Quarterly Account Statements Required by Regulation 4.7(b)(2) on Behalf of "A" and Several Commodity Pools Dear: This is in response to your letter ...
CFTC Letter No. 18-33 No-Action December 21, 2018 Division of Market Oversight Re: No-Action Relief from certain Position Aggregation Requirements under Commission Regulation 150.4(b)(2)(i)(D). This letter responds to a request received by the Division of Market Oversight ("DMO") of the ...
This is in response to your letter dated October 15, 2018, to the Division of Swap Dealer and Intermediary Oversight ("the Division" or "DSIO") of the Commodity Futures Trading Commission1 ("Commission"). By your letter, you request on behalf of ["A"], a ...
This letter responds to a request received by the Division of Market Oversight ("DMO") of the Commodity Futures Trading Commission ("Commission") from [outside counsel], dated October 2, 2017, on behalf of______ (the "Master Fund"),______ (the "Holding Company ...
This is in response to your letter dated August 13, 2018 to the Division of Swap Dealer and Intermediary Oversight ("Division" or "DSIO") of the Commodity Futures Trading Commission ("Commission" or "CFTC"). You submitted your letter on behalf of "X" ...
This is in response to your letter dated August 14, 2018, to the Division of Swap Dealer and Intermediary Oversight ("Division") of the Commodity Futures Trading Commission ("Commission"). By your letter, you request on behalf of your members that the Division confirm by no ...
This letter is issued by the Division of Swap Dealer and Intermediary Oversight ("DSIO" or the "Division") of the Commodity Futures Trading Commission ("Commission" or "CFTC") in response to a request from "X", on behalf of itself and its insured ...
Dear: This is in response to your letter, dated June 7, 2018, to the Division of Swap Dealer and Intermediary Oversight ("Division") of the Commodity Futures Trading Commission ("Commission" or "CFTC"). You request that "A", the commodity pool operator (" ...
Dear: This is in response to your letter dated January 5, 2018 to the Division of Swap Dealer and Intermediary Oversight ("Division") of the Commodity Futures Trading Commission ("Commission" or "CFTC"). In the letter, you request, on behalf of "A" and " ...
Dear: This is in response to your letter dated January 5, 2018 to the Division of Swap Dealer and Intermediary Oversight ("Division") of the Commodity Futures Trading Commission ("Commission" or "CFTC"). In the letter, you request, on behalf of "A" and " ...
Dear: This is in response to your letter dated January 5, 2018 to the Division of Swap Dealer and Intermediary Oversight ("Division") of the Commodity Futures Trading Commission ("Commission" or "CFTC"). In the letter, you request, on behalf of "A" and " ...
Ms. Mary Kay Scucci Managing Director Securities Industry and Financial Markets Association 120 Broadway New York, NY 10271 Ms. Allison Lurton Senior Vice President and General Counsel Futures Industry Association 2001 Pennsylvania Avenue, NW Washington, DC 20006 Ms. Melinda Schramm Chairman ...
Mr. Karl Chen Chief Financial Officer Shanghai Clearing House No. 2 East Beijing Road Huangpu District Shanghai, People’s Republic of China Re: Extension of No-Action Relief with Regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations Thereunder Dear Mr. Chen: By letter ...
The CFTC published a staff advisory to serve as a resource for exchanges and clearinghouses regarding virtual currency derivative product listings. CFTC 18-14_0 (1).pdf CFTC Advisories and Guidance 18-14_0 (1).pdf 1 CFTC Staff Advisory No. 18-14 May 21, 2018 Division of Market Oversight Division ...
No-action relief for non-U.S. persons that are neither guaranteed affiliates nor conduit affiliates of a U.S. person from the requirement to count swaps with international financial institutions towards the de minimis thresholds for the swap dealer and major swap participant definitions. CFTC 18-13 ...
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted no-action relief from registration to a commodity pool operator (the "Delegating CPO") in response to a request by the CPO to delegate responsibilities for operating multiple pools to another CPO (the ...
The CFTC Division of Market Oversight ("DMO") clarified the circumstances under which an investor in commodity pools may qualify for disaggregation relief. The guidance concludes that relief should apply to a "passive investor, who has no ability to control the trading decisions of a ...
The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to the additional pools of a commodity pool operator ("CPO"), which previously received relief from the requirement to deliver a quarterly account statement within 30 days of the end of the quarter to ...
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") rescinded no-action relief from certain reporting requirements previously granted to a commodity pool operator ("CPO") operating a master-feeder fund complex. CFTC 18-11.pdf 18-11.pdf U.S. COMMODITY FUTURES ...
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted no-action relief from registration to a commodity pool operator (the "Delegating CPO") in response to a request by the CPO to delegate responsibilities for operating a pool to another CPO (the " ...
Relief from the US GAAP requirement of the Commission Regulations. CFTC 18-09_0.pdf CFTC Rule 4.7 18-09_0.pdf U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-6700 Facsimile: (202) 418-5547 MKulkin@cftc.gov Division of ...
Relief from the US GAAP requirement of the Commission Regulations. CFTC 18-10.pdf CFTC Rule 4.7 18-10.pdf U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5000 mkulkin@cftc.gov Division of Swap Dealer and Intermediary ...
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") denied a request by a commodity pool operator ("CPO") for no-action relief from filing an annual report containing audited financial statements. CFTC 18-07.pdf CFTC Rule 4.7 18-07.pdf Division of Swap Dealer ...
This is in response to your letter, dated February 16, 2018, and supplemented by telephone and email communication on February 23, 2018, to the Division of Swap Dealer and Intermediary Oversight (the "Division") of the Commodity Futures Trading Commission (the "Commission" or ...
This is in response to your request submitted to the Division of Swap Dealer and Intermediary Oversight ("Division") of the Commodity Futures Trading Commission ("Commission") on November 9, 2017, (the "Correspondence"), on behalf of "A", the sponsor and ...