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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 2022-03-30
- Penalty amount $ 250,000.00 USD
- Reason for punishment The Complaint alleged that Marex allowed unregistered individuals to act as associated persons without being registered as such. The Complaint also alleged that Marex failed to diligently supervise its employees and agents. In its Decision, the BCC found that Marex violated NFA Bylaw 301(b) and Compliance Rule 2-9(a).
Disclosure details
NFA orders London, U.K. introducing broker Marex Spectron International Limited to pay a $250,000 fine
For Immediate Release
March 30, 2022
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. introducing broker Marex Spectron International Limited to pay a $250,000 fine
March 30, Chicago—NFA has ordered London, U.K. introducing broker Member Marex Spectron International Limited (Marex) to pay a $250,000 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 Marex, in which it neither admitted nor denied the allegations. The Complaint alleged that Marex allowed unregistered individuals to act as associated persons without being registered as such. The Complaint also alleged that Marex failed to diligently supervise its employees and agents. In its Decision, the BCC found that Marex violated NFA Bylaw 301(b) and Compliance Rule 2-9(a).
The complete text of the Complaint and Decision can be viewed on NFA's website.
Annex
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