• NOTICE OF SUMMARY ACTION

      • #
      • CBOT-RSRH-22-6797
      • Effective Date
      • 05 January 2023

    • FILE NO.:

      CBOT-RSRH-22-6797

      MEMBER FIRM:

      ED&F MAN CAPITAL MARKETS, INC.

      (Currently doing business as MAREX CAPITAL MARKETS, INC.)

      CBOT RULE VIOLATION:

      CBOT Rule 807. Open Long Positions During Delivery Month

      At such times and in such manner as shall be prescribed by the Manual, clearing members shall submit a complete and accurate record of dates of all open purchases for use in making deliveries. Clearing members shall be fully responsible for inventories submitted to the Clearing House. This rule shall not apply to trading in options contracts.

      FINDINGS:

      On trade date November 29, 2022, ED&F Man Capital Markets, Inc. inaccurately reported long positions eligible for delivery in the December 2022 CBT Soybean futures contract.

      PENALTY:

      On December 14, 2022, pursuant to Rule 512, a fine in the amount of $1,500 was assessed against ED&F Man Capital Markets, Inc. for its violations of Rule 807.

      EFFECTIVE DATE:

      January 5, 2023

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