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Exemptive, No-Action, Interpretative Letters, Other Written Communications, and Advisories for CFTC.gov.
The following letter has been added:
14-63; Commission regulations 4.7(b), 4.12(a), 4.22(d), and 140.93.; Exemption; March 25, 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 operating pursuant to an exemption under Commission regulation 4.7 that undertook a significant change in its underlying strategy in 2013, subsequently gave its existing investors an opportunity to liquidate and suspended all fees beyond operational expenses, and began trading with the new models in the latter half of 2013, from the requirement to have an independent public accountant audit the financial statements in the commodity pool’s annual report for fiscal year 2013 pursuant to Commission regulation 4.22(d).
14-64; Commission regulations 4.12(a), 4.7(b)(3), 4.22(d), and 140.93.; Exemption; February 25, 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 two commodity pools operating pursuant to an exemption under Commission regulation 4.7 that began operations in July 2013 from the requirement to distribute an annual report to the participants of each commodity pool and to have the financial statements in each commodity pool’s annual report be audited by an independent public accountant pursuant to Commission regulations 4.7(b)(3) and 4.22(d) with respect to the annual report for fiscal year 2013.
14-65; Commission regulations 4.7(b), 4.12(a), 4.22(d), and 140.93.; Exemption; March 25, 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 (the “CPO”) of a commodity pool operating pursuant to an exemption under Commission regulation 4.7 that has only two participants, both of which have discretionary investment authority over a portion of the commodity pool’s portfolio according to a plan establishing by the CPO’s control affiliate’s Chief Investment Officer and one of which is also a part owner of the CPO and its control affiliate, from the requirement to have an independent public accountant audit the financial statements in the commodity pool’s annual report for fiscal year 2013 pursuant to Commission regulation 4.22(d).
14-66; Commission regulations 4.7(b), 4.12(a), 4.22(d), and 140.93.; Exemption; March 13, 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 three commodity pools that are organized as a three-level master-feeder structure that each operate pursuant to an exemption under Commission regulation 4.7 and began accepting subscriptions in December 2013 from the requirement to have an independent public accountant audit the financial statements in each commodity pool’s annual report for fiscal year 2013 pursuant to Commission regulation 4.22(d).
www.cftc.gov/LawRegulation/CFTCStaffLetters/index.htm?Source=govdelivery
The following letter has been added:
14-63; Commission regulations 4.7(b), 4.12(a), 4.22(d), and 140.93.; Exemption; March 25, 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 operating pursuant to an exemption under Commission regulation 4.7 that undertook a significant change in its underlying strategy in 2013, subsequently gave its existing investors an opportunity to liquidate and suspended all fees beyond operational expenses, and began trading with the new models in the latter half of 2013, from the requirement to have an independent public accountant audit the financial statements in the commodity pool’s annual report for fiscal year 2013 pursuant to Commission regulation 4.22(d).
14-64; Commission regulations 4.12(a), 4.7(b)(3), 4.22(d), and 140.93.; Exemption; February 25, 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 two commodity pools operating pursuant to an exemption under Commission regulation 4.7 that began operations in July 2013 from the requirement to distribute an annual report to the participants of each commodity pool and to have the financial statements in each commodity pool’s annual report be audited by an independent public accountant pursuant to Commission regulations 4.7(b)(3) and 4.22(d) with respect to the annual report for fiscal year 2013.
14-65; Commission regulations 4.7(b), 4.12(a), 4.22(d), and 140.93.; Exemption; March 25, 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 (the “CPO”) of a commodity pool operating pursuant to an exemption under Commission regulation 4.7 that has only two participants, both of which have discretionary investment authority over a portion of the commodity pool’s portfolio according to a plan establishing by the CPO’s control affiliate’s Chief Investment Officer and one of which is also a part owner of the CPO and its control affiliate, from the requirement to have an independent public accountant audit the financial statements in the commodity pool’s annual report for fiscal year 2013 pursuant to Commission regulation 4.22(d).
14-66; Commission regulations 4.7(b), 4.12(a), 4.22(d), and 140.93.; Exemption; March 13, 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 three commodity pools that are organized as a three-level master-feeder structure that each operate pursuant to an exemption under Commission regulation 4.7 and began accepting subscriptions in December 2013 from the requirement to have an independent public accountant audit the financial statements in each commodity pool’s annual report for fiscal year 2013 pursuant to Commission regulation 4.22(d).
www.cftc.gov/LawRegulation/CFTCStaffLetters/index.htm?Source=govdelivery