NOTICE OF SUMMARY ACTION

FILE NO.:

DQA-19-9961

MEMBER:
INTL FCSTONE FINANCIAL INC.

RULE VIOLATION:

CME GROUP REGULATORY ADVISORY 1720-5 (DECEMBER 13, 2017) – (DOCUMENTATION OF CUSTOMER ORDERS AND SUBMISSSION OF SUSPENSE ACCOUNTS ON CME GLOBEX)

(In pertinent part)

If a general suspense account is used rather than a customer-specific or EAM-specific account, the Execution Operation must create, prior to order entry, a written or electronic record of the order in accordance with Rule 536.B.1. The order must reflect the time of receipt of the order and a customer-specific or EAM-specific account designation.

FINDINGS:
During the period of January 1, 2019 through February 28, 2019, INTL FCStone Financial Inc. violated the requirements of CME Group Regulatory Advisory 1720-5.

PENALTY:

On January 29, 2020, INTL FCStone Financial Inc. pursuant to Rule 512 (“Reporting Infractions”) was issued a $2,000 fine for its violation of CME Group Regulatory Advisory 1720-5.

EFFECTIVE DATE:

February 14, 2020