WebSep 20, 2024 · RBC has agreed to pay $800,000 to resolve charges relating to an SEC order which found that it failed to give priority to institutional and retail investors trading in municipal bonds. ... with the regulator handing out €399 million in fines for two separate bond trading cartels within a month of each other. WebJul 26, 2024 · July 26, 2024 (Toronto, Ontario) – On July 20, 2024, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and RBC Dominion Securities Inc. RBC Dominion Securities Inc. admitted to the following violation: Between August 2024 and …
IIROC Sanctions RBC Dominion Securities Inc. IIROC
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WebDec 21, 2016 · Matters Reflect FINRA’s Focus on Cybersecurity WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined 12 firms a total of $14.4 million for significant deficiencies relating to the preservation of broker-dealer and customer records in a format that prevents alteration. FINRA found that at various … WebDec 18, 2014 · Updated Dec. 18, 2014 6:48 pm ET. Text. Royal Bank of Canada will pay a $35 million penalty for engaging in illegal futures trading with itself over a three-year period in one of the biggest such ... WebDec 15, 2024 · RBC Capital Markets has been ordered by regulators to cough up $1 million in fines and restitution for failing to make sure its reps’ recommendations of junk and municipal bonds were suitable ... ftp in oic