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Case Summary

CAPITAL MARKET SERVICES LLC

NFA 11BCC00010

NFA ID: 0313199

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0313199	CAPITAL MARKET SERVICES LLC	07/28/2011

Rule Summary

NFA ID	Respondent	Rule Type
0313199	CAPITAL MARKET SERVICES LLC	• C.R.2-38 - BUSINESS CONTINUITY AND DISASTER RECOVERY PLAN
		• C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES

Committee Summary

NFA ID	Respondent	Committee
0313199	CAPITAL MARKET SERVICES LLC	• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0313199	CAPITAL MARKET SERVICES LLC	• GENERAL CONDUCT

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0313199	CAPITAL MARKET SERVICES LLC	• FINE $75000	07/13/2011

Narrative Summary

Narrative for 0313199 - CAPITAL MARKET SERVICES LLC

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**

COMPLAINT:

On May 19, 2011, NFA issued a Complaint charging CMS with failure to implement an adequate business continuity and disaster recovery plan and failure to supervise electronic trading systems.

DECISION:

On July 13, 2011, pursuant to a settlement offer submitted by CMS, the firm was ordered to pay a $75,000 fine.

Case Documents Summary

NFA ID	Respondent	Document Type
0313199	CAPITAL MARKET SERVICES LLC	COMPLAINT
0313199	CAPITAL MARKET SERVICES LLC	DECISION

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