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 ...
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 Other Guidance 18-14_0 (1).pdf 1 CFTC Staff Advisory No. 18-14 May 21, 2018 Division of Market Oversight ...
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 ...
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") 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 " ...
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 ...
The CFTC Division of Clearing and Risk ("DCR") extended previously granted no-action relief exempting Shanghai Clearing House ("SHCH") from the requirement to register as a derivatives clearing organization ("DCO"). The relief was originally granted by CFTC Letter 16 ...
The CFTC Division of Market Oversight granted a request from ISDA to extend time-limited no-action relief to certain entities from the requirement to report continuation data and creation data, and generate USIs in connection with cleared swaps. CFTC 18-03.pdf CFTC Rules Part 45, CFTC Rules Part 43 ...
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 Intercontinental Exchange, Inc. (“ICE”) on behalf of its wholly-owned subsidiary, Shorcan Energy Brokers Inc. ( ...
Staff no-action position regarding the treatment of a deferred tax liability caused by a change in accounting principles. CFTC 18-01.pdf 18-01.pdf Division of Swap Dealer and Intermediary Oversight U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC ...
No action letter extending relief from section 2(h)(8) of the Commission Exchange Act for any eligible affiliate counterparty that executes a swap transaction with another eligible affiliate counterparty. CFTC 17-67.pdf Swap SEF Trading Requirement 17-67.pdf U.S. COMMODITY FUTURES TRADING ...
No-action letter extending the time-limitation contained in an alternative compliance framework available to certain affiliated counterparties pursuant to Commission regulation 50.52(b)(4)(ii)-(iii), extending the time-limitation permitting certain affiliated counterparties located in Australia and ...
A futures commission merchant (FCM), swap dealer (SD), or introducing broker (IB) that receives separate compensation for commodity trading advice is not required to register as a commodity trading advisor, provided that the offered advice is “solely incidental” to the conduct of the FCM’s or SD’s ...
CFTC’s Division of Market Oversight issues time-limited no-action relief from certain requirements of part 45 and part 46 of the commission’s regulations, for certain swap dealers and major swap participants established under the laws of Australia, Canada, the European Union, Japan or Switzerland. ...
No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions. CFTC 17-63.pdf 17-63.pdf U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 ...
Extension of time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder CFTC 17-62.pdf 17-62.pdf U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC ...