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"CFTC Regulation"
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EFTA00844787
Dataset 9
2015-10-01
5p
1,587w
Subject:
Fwd: FW: CFTC Asserts Jurisdiction in Bitcoin Markets (Attorney Advertising)
From:
"Jeffrey E." <
[email protected]
>
To:
Joi Ito , Reid Hoffman < >, Peter Thiel
…FinCEN) (virtual currency does not have all of the attributes of real currency)12, the Securities and Exchange Commission (Bitcoin investments are investment contracts because Bitcoin is a form of money)13 and the Internal Revenue Service (treating Bitcoin as property for tax purposes)._ 10 By treating Bitcoin as a commodity, but not a currency, the CFTC has opened the door to greater
CFTC regulation
of Bitcoin derivatives in certain, but not all, respects. For example, as an exempt commodity…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00844787.pdf
EFTA00844780
Dataset 9
2015-10-01
5p
1,526w
Subject:
FW: CFTC Asserts Jurisdiction in Bitcoin Markets (Attorney Advertising)
From:
Boris Nikolic
To:
jeffrey E. <
[email protected]
>
…virtual currency does not have all of the attributes of real currency)12, the Securities and Exchange EFTA00844781 Commission (Bitcoin investments are investment contracts because Bitcoin is a form of money)13 and the Internal Revenue Service (treating Bitcoin as property for tax purposes).14 By treating Bitcoin as a commodity, but not a currency, the CFTC has opened the door to greater
CFTC regulation
of Bitcoin derivatives in certain, but not all, respects. For example, as an exempt commodity…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00844780.pdf
EFTA00840767
Dataset 9
2015-11-12
3p
1,283w
Subject:
Re: CFTC to regulate bitcoin
From:
Bryan Bishop
To:
Jeremy Rubin a>, Bryan Bishop <
…via the licensed clearinghouse, which avoids the hedging inefficiencies of current derivatives exchanges. This solves a major treasury risk issue for bitcoin corporates, who currently don't have effective hedging mechanisms, and therefore can't take on that much bitcoin risk.) Many of the details of
CFTC regulation
of LedgerX itself are public, and are available for reading at the following links, although some documents have been marked confidential: SEF - http://sirt.cftc.gov/SIRT/SIRT.aspx?Topic=SwapExecutionFacilitiesAD&Key=30643 DCO…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00840767.pdf
EFTA01368433
Dataset 10
1p
504w
…Exchange Act" means the Securities Exchange Act of 1934, as amended. "Exchange Act Reporting Company" means an issuer of securities registered under Section 12 of the Exchange Act or that is required to file reports under Section 15(d) of the Exchange Act. "Exempt Small Financial Institution" means any person described in
CFTC Regulation
50.50(d), which includes any entity that is predominantly engaged in activities that are in the business of banking, 6395993 CONFIDENTIAL - PURSUANT TO FED. R…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368433.pdf
EFTA01368435
Dataset 10
1p
613w
…excess of S5 million, and enters into swaps to manage the risk associated with an asset or liability that is or is reasonably likely to be owned or incurred by such individual. "Hedging or Mitigating Commercial Risk" has the meaning set out in
CFTC Regulation
50.50(c) and includes the following swaps: (1) a swap that either: (A) is economically appropriate to the reduction of risks in the conduct and management of a commercial enterprise, where the risks arise…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368435.pdf
EFTA01456005
Dataset 10
1p
312w
…8 3 Spry, % t_)sAlk cienot . Deutsche Asset & Wealth Management
[email protected]
Date:Oar:lax _.19(f )4zA 4.1 Re: Contact Information For Purposes of
CFTC Regulation
23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to
CFTC Regulation
23.701 ("CFTC IM Segregation Right Notices"). CFTC 1M Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456005.pdf
EFTA01456002
Dataset 10
1p
293w
…feri 63 v. .1R.; k Deutsche Asset & Wealth Management Date: tt.1,019.4y- t ao t Re: Contact Information For Purposes of
CFTC Regulation
23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to
CFTC Regulation
23.701 ("CFTC IM Segregation Right Notices"). CFTC IM Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using the following contact information. ' I…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456002.pdf
EFTA01462932
Dataset 10
2014-05-05
4p
1,329w
…the
CFTC Regulation
, see 78 Fed. Reg. 66621 (Nov. 6, 2013) (adopting CFTC Regulations 23.700-23.704)
CFTC Regulation
23.701(c)
CFTC Regulation
23.701(d)
CFTC Regulation
23.701(d) See Fed. Reg. at 66621 & n. 1 See Fed. Reg. at 66621 & n. 2
CFTC Regulation
23.701(a)(2)
CFTC Regulation
23.701(a)(3)
CFTC regulation
23.702 sets forth certain requirements which must be met if the counterparty elects to segregate
CFTC Regulation
23…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01462932.pdf
EFTA01455876
Dataset 10
1p
280w
Counterparty:_Southern Financial LLC Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of
CFTC Regulation
23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to
CFTC Regulation
23.701 rant IM Segregation Right Notices"). CFTC 1M Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using the following contact information.' I. Collateral Contact Type2 (please select one)3…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455876.pdf
EFTA01455871
Dataset 10
1p
280w
Counterparty: Southern Trust Company Inc Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of
CFTC Regulation
23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to
CFTC Regulation
23.701 ("CFTC IM Segregation Right Notices"). CFTC N Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using the following contact information. I I. Collateral Contact Type2 (please select…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455871.pdf
EFTA01448096
Dataset 10
2014-05-05
1p
470w
…Deutsche Bank AG (the swap dealer) and State Street and Trust Company, as acceptable custodians For the lull loin of the
CFTC Regulation
, soo 78 Fod. Reg 66621 (Nov. 6, 2013) (adopting CFTC Regulations 23700-23.70d)
CFTC Regulation
23.701(c)
CFTC Regulation
23.701(0)
CFTC Regulation
23.701(d) See Fed. Reg. al 66621 8 n. 1 See Fed. Reg. at 66621 8 n. 2
CFTC Regulation
23.701(aX2) Deutsche Bank CONFIDENTIAL — PURSUANT TO FED. R…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01448096.pdf
EFTA01455867
Dataset 10
1p
280w
Counterparty:_Southern Financial LLC Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of
CFTC Regulation
23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to
CFTC Regulation
23.701 rant IM Segregation Right Notices"). CFTC 1M Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using the following contact information.' I. Collateral Contact Type2 (please select one)3…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455867.pdf
EFTA01455881
Dataset 10
1p
280w
Counterparty: Southern Trust Company Inc Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of
CFTC Regulation
23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to
CFTC Regulation
23.701 ("CFTC IM Segregation Right Notices"). CFTC N Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using the following contact information. I I. Collateral Contact Type2 (please select…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455881.pdf
EFTA00823570
Dataset 9
2016-07-22
1p
181w
Subject:
Dodd Frank Quarterly Notification [C]
From:
DeAWM-WM DerivativeDoes ‹ >
To:
undisclosed-recipients:;
…pdf Classification: Confidential Dear Valued Client, Please review the attached notice, which Deutsche Bank AG is sending to you pursuant to
CFTC Regulation
23.704. You are not required to take any other action as a result of your receipt of this notice. Thank you for your consideration. Kind Regards, DeAWM Derivative Documents Team DBSI does not accept orders and/or instructions regarding your account by e-mail. Any orders or transactional requests sent by e-mail will not be…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00823570.pdf
EFTA00843453
Dataset 9
2015-10-16
1p
177w
Subject:
Dodd Frank Quarterly Notification
From:
DeAWM-WM DerivativeDocs <
To:
undisclosed-recipients:;
…Reporting_Q32015.pdf Dear Valued Client, Please review the attached notice, which Deutsche Bank AG is sending to you pursuant to
CFTC Regulation
23.704. You are not required to take any other action as a result of your receipt of this notice. Thank you for your consideration. Kind Regards, DeAWM Derivative Documents Team DBSI does not accept orders and/or instructions regarding your account by e-mail. Any orders or transactional requests sent by e-mail will not be…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00843453.pdf
EFTA01368436
Dataset 10
1p
513w
…economic term of a swap or to any primary economic terms data previously reported to a CFTC-registered swap data repository in connection with a swap. "Major Security-Based Swap Participant" has the meaning ascribed to it in Section 3(a)(67) of the Exchange Act and Rule 3a67-1 under the Exchange Act. "Major Swap Participant" has the meaning ascribed to it in Section 1a(33) of the CEA and
CFTC Regulation
1.3(hhh). CONFIDENTIAL - PURSUANT TO FED…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368436.pdf
EFTA01354597
Dataset 10
1p
557w
…QUALIFIED PURCHASERS" (AS DEFINED IN THE INVESTMENT COMPANY ACT), AND (III) (A) AT ALL TIMES THE AMOUNT OF COMMODITY INTEREST POSITIONS TO WHICH THE ACCESS FUND IS DIRECTLY AND/OR INDIRECTLY EXPOSED DOES NOT EXCEED THE FOLLOWING LEVELS SPECIFIED IN
CFTC REGULATION
4.13(a)(3Xii): EITHER (X) THE AGGREGATE INITIAL MARGIN AND PREMIUMS REQUIRED TO ESTABLISH COMMODITY INTEREST POSITIONS WILL NOT EXCEED 5% OF THE LIQUIDATION VALUE OF THE ACCESS FUND; AND/OR (Y) THE AGGREGATE NET NOTIONAL VALUE…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354597.pdf
EFTA01389325
Dataset 10
1p
733w
…TO AN EXEMPTION UNDER
CFTC REGULATION
SECTION 4.13(AX3) FOR POOLS (A) WHOSE INTERESTS ARE EXEMPT FROM REGISTRATION UNDER THE SECURITIES ACT AND ARE OFFERED AND SOLD WITHOUT MARKETING TO THE PUBLIC IN THE UNITED STATES, (B) WHOSE PARTICIPANTS ARE LIMITED TO ACCREDITED INVESTORS AND (C) WHOSE INVESTMENTS IN COMMODITY INTEREST POSITIONS ARE LIMITED SUCH THAT EITHER (1) THE AGGREGATE INITIAL MARGIN, PREMIUMS AND REQUIRED MINIMUM DEPOSIT FOR RETAIL FOREX TRANSACTIONS (AS DEFINED IN
CFTC REGULATION
SECTION 5.1…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389325.pdf
EFTA01390209
Dataset 10
1p
786w
…an exemption under
CFTC Regulation
Section 4.13(a)(3) for pools (a) whose interests are exempt from registration under the Securities Act and are offered and sold without marketing to the public in the U.S., (b) whose participants are limited to accredited investors and (c) whose investments in commodity interest positions are limited such that either (1) the aggregate initial margin, premiums, and required minimum deposit for retail forex transactions (as defined in
CFTC Regulation
Section 5.1…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390209.pdf
EFTA01391355
Dataset 10
1p
557w
…QUALIFIED PURCHASERS" (AS DEFINED IN THE INVESTMENT COMPANY ACT), AND (RI) (A) AT ALL TIMES THE AMOUNT OF COMMODITY INTEREST POSITIONS TO WHICH THE ACCESS FUND IS DIRECTLY AND/OR INDIRECTLY EXPOSED DOES NOT EXCEED THE FOLLOWING LEVELS SPECIFIED IN
CFTC REGULATION
4.13(a)(3Xii): EITHER (X) THE AGGREGATE INITIAL MARGIN AND PREMIUMS REQUIRED TO ESTABLISH COMMODITY INTEREST POSITIONS WILL NOT EXCEED 5% OF THE LIQUIDATION VALUE OF THE ACCESS FUND; AND/OR (Y) THE AGGREGATE NET NOTIONAL VALUE…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391355.pdf
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