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Global Broker Regulation & Inquiry App
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
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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