Disclosure details -

National Futures Association

Year 1982Regulated by Government

National Futures Association (NFA) is the industrywide, self-regulatory organization for the U.S. derivatives industry, providing innovative and effective regulatory programs. Designated by the CFTC as a registered futures association, NFA strives every day to safeguard the integrity of the derivatives markets, protect investors and ensure Members meet their regulatory responsibilities.

Disclose broker

Sanction Fine

ED&F Man

Disclosure summary

Disclosure matching Name matching
Disclosure time 2021-09-16
Penalty amount $ 150,000.00 USD
Reason for punishment The Committee found that ED&F Man failed to comply with the qualification testing requirement as to certain associated persons by the compliance date.

Disclosure details

NFA orders London, U.K. swap dealer ED&F Man Capital Markets Limited to pay a $150,000 fine

For Immediate Release September 16, 2021 For more information contact: Christie Hillsman, 312-781-1497, chillsman@nfa.futures.org Karen Wuertz, 312-781-1335, kwuertz@nfa.futures.org NFA orders London, U.K. swap dealer ED&F Man Capital Markets Limited to pay a $150,000 fine September 16, Chicago—NFA has ordered London, U.K. swap dealer ED&F Man Capital Markets Limited (ED&F Man) to pay a $150,000 fine. The Decision, issued by NFA's Business Conduct Committee (BCC), is based on a Complaint issued by the BCC and a settlement offer submitted by ED&F Man, in which it neither admitted nor denied the allegations. The Committee found that ED&F Man failed to comply with the qualification testing requirement as to certain associated persons by the compliance date. The complete text of the Complaint and Decision can be viewed on NFA's website.

Annex

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2023-05-31

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