NOTICE of DISCIPLINARY ACTION

FILE NO.:                   23-CH-2321

MEMBER FIRM:         Marex North America LLC  

CME Rule:                  980. REQUIRED RECORDS AND REPORTS

                                 A.  Each clearing member shall prepare, maintain and keep current those books and records required by the rules of the Exchange, the Commodity Exchange Act and the Regulations thereunder. Such books and records shall be open to inspection and promptly provided to the Exchange upon request.                                                       

FINDINGS:               Pursuant to an offer of settlement in which Marex North America LLC neither admitted nor denied the rule violation upon which the penalty is based, on August 17, 2023, the Clearing House Risk Committee found that Marex North America LLC violated CME Rule 980.A.

PENALTY:                  In accordance with the settlement offer, the Committee imposed a $50,000 fine.

EFFECTIVE DATE:    August 18, 2023