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Case Summary

DL GLOBAL FUTURES LLC

NFA 12BCC00005

NFA ID: 0359360

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0359360	DL GLOBAL FUTURES LLC	10/05/2012

Rule Summary

NFA ID	Respondent	Rule Type
0359360	DL GLOBAL FUTURES LLC	• C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM

Committee Summary

Action Summary

NFA ID	Respondent	Action Types
0359360	DL GLOBAL FUTURES LLC	• GENERAL CONDUCT

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0359360	DL GLOBAL FUTURES LLC	• FINE $15000	09/20/2012

Narrative Summary

Narrative for 0359360 - DL GLOBAL FUTURES LLC

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COMPLAINT:

On March 13, 2012, NFA issued a Complaint charging DL Global with failing to implement an AML program.

ANSWER:

On March 30, 2012, DL Global filed an Answer to the Complaint in which it denied the material allegations contained therein.

DECISION:

On September 20, 2012, after a hearing was held, DL Global was ordered to pay a $15,000 fine.

Case Documents Summary

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