Ladies and Gentlemen: This letter is in response to a request for a no-action position received by the Division of Swap Dealer and Intermediary Oversight ("DSIO") of the Commodity Futures Trading Commission ("Commission") from the International Swaps and Derivatives Association ...

Dear: This is in response to your letter dated October 5, 2018 to the Division of Swap Dealer and Intermediary Oversight ("Division") of the Commodity Futures Trading Commission ("Commission"). In the letter, you request on behalf of "A" that the Division not recommend ...

May 7, 2019 Matthew B. Kulkin, Director Division of Swap Dealer and Intermediary Oversight U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Telephone: (202) 418-5000 RE: Request for No-Action Relief from the Requirement to Register as a ...

U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5000 Re: No-Action Relief in Connection With Certain Previously Granted Commission Determinations and Exemptions, in Order to Account for the Anticipated Withdrawal of ...

This letter extends to United Kingdom ("UK") entities existing regulatory relief involving European Union ("EU") entities issued by staff of the Commodity Futures Trading Commission ("CFTC" or "Commission"). Such extension of relief will become effective if ...

U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5000 Division of Swap Dealer and Intermediary Oversight Matthew B. Kulkin Director CFTC Letter No. 19-10 No-Action Re: Time-Limited No-Action Position on Introducing ...

Re: Time-Limited No-Action Position on Introducing Broker Registration - Commodity Exchange Act Section 4d(g) Ladies and Gentlemen: This letter is in response to a request, dated February 12, 2019, for a no-action position received by the Division of Swap Dealer and Intermediary Oversight (" ...

U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5000 Division of Swap Dealer and Intermediary Oversight Matthew B. Kulkin Director Re: No-Action Position for Off-SEF Swaps Executed Pursuant to Prime Brokerage ...

CFTC Letter No. 19-05 No-Action February 28, 2019 February 28, 2019 Re: Request for No-Action Relief from the Requirement to Register as a Commodity Pool Operator under Section 4m(1) of the Commodity Exchange Act Dear: This is in response to your letter dated October 31, 2018 to the Division of ...

CFTC Letter No. 19-05 No-Action February 28, 2019 February 28, 2019 Re: Request for No-Action Relief from the Requirement to Register as a Commodity Pool Operator under Section 4m(1) of the Commodity Exchange Act Dear: This is in response to your letter dated October 31, 2018 to the Division of ...

Dear: This letter is in response to your letter dated September 26, 2018, to the Division of Swap Dealer and Intermediary Oversight (the "Division") of the Commodity Futures Trading Commission (the "Commission"). You request on behalf of "A" ("Manager"), the ...

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 ...

Dear: This is in response to your letter, dated May 22, 2018, to the Division of Swap Dealer and Intermediary Oversight (the "Division") of the Commodity Futures Trading Commission (the "Commission" or the "CFTC"). In the letter, you request, on behalf of "A" ...