BASIC

Print Page

Case Summary

MACKENZIE WALLACE & CO LIMITED

NFA 13BCC00002

NFA ID: 0328381

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0328381	MACKENZIE WALLACE & CO LIMITED	06/04/2013

Rule Summary

NFA ID	Respondent	Rule Type
0328381	MACKENZIE WALLACE & CO LIMITED	• C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM

Committee Summary

NFA ID	Respondent	Committee
0328381	MACKENZIE WALLACE & CO LIMITED	• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0328381	MACKENZIE WALLACE & CO LIMITED	• GENERAL CONDUCT

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0328381	MACKENZIE WALLACE & CO LIMITED	• FINE $10000	05/20/2013

Narrative Summary

Narrative for 0328381 - MACKENZIE WALLACE & CO LIMITED

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**

COMPLAINT:

On March 14, 2013, NFA issued a Complaint charging Mackenzie Wallace with failing to implement an anti-money laundering program.

DECISION:

On May 20, 2013, pursuant to a settlement offer submitted by Mackenzie Wallace, the firm was ordered to pay a $10,000 fine.

Case Documents Summary

NFA ID	Respondent	Document Type
0328381	MACKENZIE WALLACE & CO LIMITED	COMPLAINT
0328381	MACKENZIE WALLACE & CO LIMITED	DECISION

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the futures markets.