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June 20, 2024
For more information contact:
Karen Wuertz, 312-781-1335, kwuertz@nfa.futures.org
NFA orders London, United Kingdom introducing broker Clarksons Platou Futures Limited to pay a $250,000 fine
June 20, Chicago--NFA has ordered Clarksons Platou Futures Limited (Clarksons) to pay a $250,000 fine. Clarksons is an introducing broker Member of NFA located in London, United Kingdom.
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 Clarksons, in which the firm neither admitted nor denied the allegations in the Complaint. The Complaint charged Clarksons with failing to register three individuals as associated persons and NFA Associates, in violation of NFA Bylaw 301(b); failing to keep pre-trade communications, in violation of NFA Compliance Rule 2-10(a); and disclosing confidential information, in violation of NFA Compliance Rule 2-26. The Complaint further charged Clarksons with failing to supervise, in violation of NFA Compliance Rule 2-9(a).
In its Decision, the BCC found that Clarksons violated NFA Bylaw 301(b) and Compliance Rules 2-10, 2-26 and 2-9.
The complete text of the Complaint and Decision can be viewed on NFA's website.