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ARTICLE · 28 SEPTEMBER 2017

CFTC Grants CPO Exemptive Relief From Quarterly Reporting Requirements

Hogan Lovells Cadwalader
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The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted exemptive relief to the Commodity Pool Operator ("CPO") of two pools from the quarterly report filing requirement...

United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted exemptive relief to the Commodity Pool Operator ("CPO") of two pools from the quarterly report filing requirement in CFTC Rule 4.7(b)(2).

Under CFTC Rule 4.7(b)(2), CPOs generally are required to distribute quarterly reports within 30 days of the end of a particular quarter. According to the relief letter, the CPO informed DSIO that (i) it invests all of its assets in other collective investment vehicles, and (ii) it frequently does not receive the requisite account statements from these investment vehicles with sufficient time to process the data needed to prepare and distribute reports by the quarterly reporting deadline.

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