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Post by bot on Apr 17, 2014 23:19:12 GMT -5
Exemptive, No-Action, Interpretative Letters, Other Written Communications, and Advisories for CFTC.gov. The following letter has been added: 14-48; Commission regulations 4.12(a), 4.22(c), and 140.93; Exemption; March 28, 2014 The Division of Swap Dealer and Intermediary Oversight granted exemptive relief pursuant to Commission regulations 4.12(a) and 140.93 to a commodity pool operator of a commodity pool from the annual report filing requirements in Commission regulation 4.22(c) and permitted the commodity pool operator to file with the National Futures Association and distribute to participants an annual report for the commodity pool covering the period from January 1, 2013 to January 31, 2014, which was when the pool permanently ceased trading, by April 30, 2014 that otherwise complies with all other applicable Commission regulations. 14-49; Commission regulations 4.7(b)(3), 4.12(a), 4.22(d), and 140.93; Exemption; March 31, 2014 The Division of Swap Dealer and Intermediary Oversight granted exemptive relief pursuant to Commission regulations 4.12(a) and 140.93 to a commodity pool operator of several commodity pools operating pursuant to an exemption under Commission regulation 4.7 whose only participants are principals, senior employees, portfolio managers of the commodity pool operator, and trusts controlled by the principals of the commodity pool operator from the requirement to have an independent public accountant audit the financial statements in the commodity pool’s annual report for fiscal year 2013 and going forward pursuant to Commission regulation 4.22(d) www.cftc.gov/LawRegulation/CFTCStaffLetters/index.htm?Source=govdelivery
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