NOTICE OF DISCIPLINARY ACTION

NON-MEMBER:

ENETERA LIMITED

RULE VIOLATION: EXCHANGE 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 August 20, 2019, a Panel of the New York Mercantile Exchange (“NYMEX”) Probable Cause Committee charged Enetera Limited (“Enetera”) with violating Exchange Rule 432.L.2. based on allegations that Enetera refused to provide requested information to Exchange staff during the investigation of this matter.

On November 8, 2019, 2019, a Hearing Panel Chair of the NYMEX Business Conduct Committee (“BCC”) entered an order finding that Enetera failed to answer the charges against him. The Hearing Panel Chair further ordered that Enetera was deemed to have admitted the charges issued and waived his right to a hearing on the merits of the charges.

On November 20, 2019, a penalty hearing was held before a panel of the NYMEX BCC (“BCC Panel”) which found that Enetera had committed the violation charged.

PENALTY:

In accordance with Exchange Rule 402.B (Sanctions), the BCC Panel ordered Enetera to serve a permanent ban from access to any trading floor owned or controlled by CME Group and from direct and indirect access to any designated contract market, derivatives clearing organization or swap execution facility owned or controlled by CME Group.