NOTICE OF DISCIPLINARY ACTION

NON-MEMBER:

ZHI JIAN SENKY KAY

RULE VIOLATION: NYMEX RULE 432. GENERAL OFFENSES (IN PART)

It shall be an offense:

L. 2. to fail to fully answer all questions or produce all books and records at such hearing or in connection with any investigation, or to make false statements.

FINDINGS:

On April 9, 2019, a Panel of the New York Mercantile Exchange (“NYMEX”) Probable Cause Committee charged Zhi Jian Senky Kay (“Kay”) with violating NYMEX Rule 432.L.2. based on allegations that Kay failed to fully answer all questions in connection with an investigation.

On June 7, 2019, a Hearing Panel Chair of the NYMEX Business Conduct Committee (“BCC”) entered an order finding that Kay failed to answer the charge against him. The Hearing Panel Chair further ordered that Kay was deemed to have admitted the charge issued and waived his right to a hearing on the merits of the charge.

On June 26, 2019, a penalty hearing was held before a panel of the NYMEX BCC (“BCC Panel”) which found that Kay had committed the violation charged.

PENALTY:

In accordance with NYMEX Rule 402.B (Sanctions), the BCC Panel ordered Kay to serve a permanent ban from membership privileges, access to any CME Group, Inc. trading floor, and direct and indirect access to all electronic trading and clearing platforms owned or controlled by CME Group, Inc.