The National Futures Association (NFA) has ordered London, U.K. introducing broker Member Marex Spectron International Limited to pay a $250,000 fine.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on a Complaint issued by the BCC and a settlement offer submitted by Marex, in which it neither admitted nor denied the allegations.
The Complaint alleged that Marex allowed unregistered individuals to act as associated persons without being registered as such. The Complaint also alleged that Marex failed to diligently supervise its employees and agents.
During an 2020 examination, NFA identified 18 individuals employed as brokers of Marex Spectron who were soliciting and/or accepting orders from customers located in the US, without being registered as APs of the firm and NFA associates.
All of these unregistered individuals worked at the firm’s London energy division.
Also, Marex failed to maintain an adequate supervisory to oversee its employees and agents in the conduct of their commodity interest activities for or on behalf of the firm.
In its Decision, the BCC found that Marex violated NFA Bylaw 301(b) and Compliance Rule 2-9(a).
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