RegAlert2006-07-07 | CFTC Staff Letter 06-16Added · Updated
CFTC Staff Letter 06-16: Exemptive Relief for Registered CPO and CTA of an Exchange-Traded Fund
The Division of Clearing and Intermediary Oversight grants registered commodity pool operator B relief from Regulations 4.21, 4.22, and 4.23 regarding disclosure document acknowledgments, monthly account statements, and recordkeeping locations. This exemption permits B to maintain required information on designated websites and keep books and records at affiliated entities J, K, and L, provided specific notification and inspection conditions are met. Additionally, registered commodity trading advisor D is exempted from Regulations 4.31 and 4.36, relieving it of the obligation to deliver a disclosure document to B. These exemptions apply to the operation of the Fund and the Investing Pool, contingent upon the accuracy of the representations made in the correspondence.
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U.S. COMMODITY FUTURES TRADING COMMISSION
Three Lafayette Centre
1155 21st Street, NW, Washington, DC 20581
Telephone: (202) 418-5430
Facsimile: (202) 418-5547 aradhakrishnan@cftc.gov Division of Clearing and Intermediary Oversight CFTC letter No. 06-16 July 7, 2006 Exemption Division of Clearing and Intermediary Oversight
Re: “A”
Regulations 4.21, 4.22 and 4.23
“B” – Request for relief from certain Disclosure Document, recordkeeping and reporting requirements “C” Regulations 4.31 and 4.36 “D” – Request for relief from the Disclosure Document requirement Dear :
This is in response to your letter dated April 11, 2006, to the Division of Clearing and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (the “Commission”), as supplemented by your letters dated May 4, 2006 and May 26, 2006, by your e-mail messages and by telephone conversations with Division staff (collectively, the “correspondence”). By the correspondence, you request, on behalf of “B”, a registered commodity pool operator (“CPO”), certain relief from Commission Regulations 4.21, 4.22 and 4.231 which concern, respectively, the disclosure, reporting and recordkeeping requirements applicable to registered CPOs, in connection with “B” serving as the registered CPO of “A” (the “Fund”). You further request, on behalf of “D”, a registered commodity trading advisor (“CTA”), relief from Regulations 4.31 and 4.36, which concern, respectively, Disclosure Document delivery and filing requirements applicable to registered CTAs, in connection with “D” serving as the registered CTA of “C” (the “Investing Pool”). Background
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Source: Commodity Futures Trading Commission — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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