NOTICE OF SUMMARY ACTION

FILE NO.:      

CME DQA-22-0902

MEMBER:

MACQUARIE CAPITAL MARKETS CANADA LTD

RULE VIOLATION:  

RULE 536.B. GLOBEX ORDER ENTRY

1.         GENERAL REQUIREMENT

Each Globex Terminal Operator entering orders into Globex shall accurately input for each Application Message all fields required to be populated by the CME iLink® Message Specifications set forth in the CME Group Client Systems Wiki in effect at the time, including, but not limited to the: operator ID; price; quantity; product; expiration month; CTI code; manual order indicator; and account…

FINDINGS:

During the period of January 1, 2022 through March 31, 2022, Macquarie Capital Markets Canada Ltd violated Rule 536.B.1 by submitting the inaccurate account numbers at order entry.

PENALTY:

On September 23, 2022, Macquarie Capital Markets Canada Ltd, pursuant to Rule 512 (“Reporting Infractions”), was issued a $1,000 fine for its violations of Rule 536.B.1.

EFFECTIVE DATE:  

October 11, 2022