CFTC Staff Letter 16-77: No-Action Relief from CCO Annual Report Timing Requirements

The Division of Swap Dealer and Intermediary Oversight grants no-action relief to a provisionally registered, non-U.S. swap dealer, allowing it to file its Chief Compliance Officer annual report on or before April 30, 2016, rather than the standard deadline. This extension applies because the entity complies with substituted requirements under a comparability determination and its home jurisdiction lacks a corresponding filing deadline. The Division will not recommend enforcement action for failure to submit the report before the specified April date.

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U.S. COMMODITY FUTURES TRADING COMMISSION
Three Lafayette Centre
1155 21st Street, NW, Washington, DC 20581
Telephone: (202) 418-5326 eflaherty@cftc.gov
Division of Swap Dealer and
Inter Intermediary Oversight
Eileen T. Flaherty
Director
CFTC Letter No. 16-77
No-Action
March 30, 2016
Division of Swap Dealer and Intermediary Oversight Re: No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Dear :
This letter is in response to your letter dated March 28, 2016 to the Division of Swap Dealer and Intermediary Oversight (“DSIO” or “Division”). In the letter, it was stated that , a provisionally registered, non-U.S. swap dealer, is requesting that the Division grant relief from the filing deadline for submitting the firm’s chief compliance officer annual report (“CCO Annual Report”) as set forth in Commission Regulation 3.3(f)(2). 1

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