Gsa Capital Partners (New York) Lp

Allegations: THE CHICAGO MERCANTILE EXCHANGE CONSIDERED THE FUND HAD BREACHED CME RULES 534 AND 576 BETWEEN JANUARY AND MARCH 2012 BY MATCHING CERTAIN MEXICAN PESO FUTURES TRADES AGAINST ITSELF THROUGH A SINGLE EXCHANGE IDENTIFYING CODE. Status: Final Sanction Detail: $130,000 FINE Summary: THE CME FOUND THAT THE FUND EMPLOYED TWO AUTOMATED TRADING STRATEGIES THAT OCCASIONALLY PLACED OPPOSING ORDERS ON ITS GLOBEX PLATFORM, SHOULD HAVE KNOWN THAT THESE ORDERS WOULD MATCH WITH RESTING ORDERS ON THE OTHER SIDE OF THE MARKET, AND DID NOT EMPLOY FUNCTIONALITY TO MINIMISE MATCHING NOR MONITORED ITS TRADING ADEQUATELY IN THIS REGARD. THE CME ACKNOWLEDGED THESE TRADES WERE INCIDENTAL TO THE FUND'S TRADING ACTIVITY, CAUSED NO PRICE OR VOLUME ABERRATIONS, AND THAT THE FUND DID NOT BENEFIT FROM THE TRADES. THE FUND PAID A FINE OF $130,000 TO SETTLE THE DISPUTE WITHOUT ADMITTING OR DENYING LIABILITY.

Allegations: GSA CAPITAL PARTNERS LLP RECEIVED A SEK60,000 (APROXIMATELY $6,540) LATE FILING FINE FROM THE FINANSINSPEKTIONEN IN RELATION TO THE LATE FILING (BY 3 DAYS) OF SHORT HOLDING NOTIFICATIONS RELATING TO SHORT POSITIONS HELD BY GSA CAPITAL PARTNERS LLP IN TWO SWEDISH STOCKS. Status: Final Sanction Detail: MONETARY FINE SEK 60,000, APPROXIMATELY $7,100PAID BY GSA CAPITAL PARTNERS LLP IN JUNE 2015 Summary: BY A DECISION MADE ON MARCH 26TH 2015, THE FINANSINSPEKTIONEN APPLIED A PENALTY FEE OF SIXTY THOUSAND SWEDISH KRONOR (SEK 60,000, APPROXIMATELY $7,100) TO GSA CAPITAL PARTNERS LLP FOR THE LATE NOTIFICATION OF SHORT POSITIONS IN TWO SWEDISH LISTED EQUITY STOCKS.