Post by bot on Dec 21, 2013 7:22:26 GMT -5
Exemptive, No-Action, & Interpretative Letters for CFTC.gov.
The following letter has been added:
13-74; Sec. 4d(f)(1) of the CEA; No-Action; December 20, 2013
The Division of Clearing and Risk issued a letter stating that it will not recommend that the Commission take enforcement action against Singapore Exchange Derivatives Clearing Limited (SGX-DC) clearing members for failing to comply with the Commodity Exchange Act Section 4d(f)(1) registration requirements in carrying existing positions and accepting for clearing offsetting positions in certain commodity swaps for U.S. customers; or SGX-DC for engaging in activities related to its clearing members carrying and accepting for clearing such positions for U.S. customers.
13-75; Part 45 and Part 46 of the Commission’s regulations; No-Action; December 20, 2013
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.
13-76; CEA section 5h(a)(1); Commission Regulation 37.3(a)(1); No-Action; December 20, 2013
Conditional Time-Limited No-Action Relief for Yieldbroker Pty Ltd with Regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1).
13-77; Commission Regulation 1.35(a); No-Action; December 20, 2013
Time-Limited No-Action Relief for Certain Members of Swap Execution Facilities from the Requirement to Record Oral Communications Pursuant to Commission Regulation 1.35(a).
13-78; Commission Regulations 23.600(c)(2), 23.608, and 23.609; No-Action; December 20, 2013
Time-Limited No-Action Letter from Certain Entity-Level Internal Business Conduct Requirements for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, and Switzerland.
www.cftc.gov/LawRegulation/CFTCStaffLetters/index.htm
The following letter has been added:
13-74; Sec. 4d(f)(1) of the CEA; No-Action; December 20, 2013
The Division of Clearing and Risk issued a letter stating that it will not recommend that the Commission take enforcement action against Singapore Exchange Derivatives Clearing Limited (SGX-DC) clearing members for failing to comply with the Commodity Exchange Act Section 4d(f)(1) registration requirements in carrying existing positions and accepting for clearing offsetting positions in certain commodity swaps for U.S. customers; or SGX-DC for engaging in activities related to its clearing members carrying and accepting for clearing such positions for U.S. customers.
13-75; Part 45 and Part 46 of the Commission’s regulations; No-Action; December 20, 2013
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.
13-76; CEA section 5h(a)(1); Commission Regulation 37.3(a)(1); No-Action; December 20, 2013
Conditional Time-Limited No-Action Relief for Yieldbroker Pty Ltd with Regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1).
13-77; Commission Regulation 1.35(a); No-Action; December 20, 2013
Time-Limited No-Action Relief for Certain Members of Swap Execution Facilities from the Requirement to Record Oral Communications Pursuant to Commission Regulation 1.35(a).
13-78; Commission Regulations 23.600(c)(2), 23.608, and 23.609; No-Action; December 20, 2013
Time-Limited No-Action Letter from Certain Entity-Level Internal Business Conduct Requirements for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, and Switzerland.
www.cftc.gov/LawRegulation/CFTCStaffLetters/index.htm