Depository or Fund Manager Filing of Acknowledgment Letters

An acknowledgment letter is an executed written agreement between (1) a futures commission merchant (FCM) or derivatives clearing organization (DCO) and (2) a depository or money market mutual fund (MMMF) whereby the depository or MMMF acknowledges that certain funds placed with it are customer funds that must be held in accordance with the Commodity Exchange Act and Commission regulations. The acknowledgment letter is required to be prepared using an applicable form as outlined within the Commission’s regulations.

GENERAL INSTRUCTIONS

Who must file – 17 CFR §§ 1.20(d)(4) and (g)(4)(iii), 1.26(b), 22.5(b), and 30.7(d)(4) require a depository or MMMF to provide a copy of an executed acknowledgment letter to the Commission. (Commission regulations also require FCMs and DCOs to file copies of executed acknowledgment letters.)

When to file – A depository or MMMF must provide a copy of an executed acknowledgment letter to the Commission no later than three business days after an FCM or DCO opens an account or a new acknowledgment letter for an existing account is executed, as applicable.

How to file – An executed acknowledgment letter must be submitted via electronic means, in a format and manner determined by the Commission. A DCO shall file an executed acknowledgment letter with the Commission using the Commission’s Portal. All other depositories, including FCMs acting as a depository, and MMMFs should file executed acknowledgment letters via the Commission’s web-based submission site (see below), or as otherwise instructed by the Commission or its designee. A depository or MMMF unable to file through the web-based submission site due to technical issues should contact the Commission at TechSupport@cftc.gov for further assistance.

What to file – A depository or MMMF filing via the web-based submission site must complete all required fields noted below. A separate filing should be completed for each acknowledgment letter executed. A copy of an executed acknowledgment letter should be submitted using an Adobe PDF (.pdf) format.

Signatures and Other Requirements – Each submitted executed acknowledgment letter should be dated and contain the printed name and title of the respective FCM or DCO and depository or MMMF representatives who executed the letter. The person making the submission on behalf of the depository or MMMF should provide a contact phone number and email address in the event that there is a question with respect to the filing.

Please complete all required fields and upload at least one attachment prior to clicking Submit.

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Fields marked with a red exclamation () are required

SECTION 1. REPORTING DEPOSITORY/FUND MANAGER AND CONTACT INFORMATION

Type of Account

Depository Name

Fund Manager

Fund Name and Ticker Symbol

FILER CONTACT INFORMATION

First Name

Middle Initial

Last Name

Phone Number

Email Address

Job Title

SECTION 2. FILING INFORMATION

DCO/FCM INFORMATION

Select the entity that is a signatory to the acknowledgment letter.

Filing on Behalf of

DCO Name

FCM Name

Account Information

Account Title

Segregation Type

Account Number(s) – specify up to 20

Press +/- to add/remove Account Number

Execution Date (mm/dd/yyyy) Required Field.

Open the calendar popup.

Amendment

Confirmation Number of Previous Submission

Enter the reason for this amendment:

Notes

Section 3. Executed Written Acknowledgment Letter

The CFTC Portal is encrypted throughout transmission and processing. It is not necessary to password protect or encrypt uploaded files. These files will be rejected since they cannot be automatically checked for malware and viruses.

You must upload at least 1 but not more than 10 files.

Files are limited to a size of 10 MB each.

Acceptable formats include: .pdf.

If additional attachments are needed for your submission please submit the form as many times as necessary.

Depending on the size of your submission, the transaction can take as long as 4 minutes.

Acknowledgment Letter (Only 1 file)

Required Field

Supporting Documents (Max 10 file)

Section 4. Authentication and Consent

I hereby confirm that the entity selected above has signed the attached acknowledgment letter.
I hereby certify that the information contained in this submission is accurate and complete to the best of my knowledge and belief. I also agree to the collection, processing, use and disclosure of my personal information as stated in the Privacy Policy for www.cftc.gov.

Section 5. Validation Code

Validation Code

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