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RBC, TD to pay millions to settle U.S. SEC charges over recordkeeping violations

TORONTO — RBC and TD Bank Group have agreed to pay tens of millions of dollars in penalties after being charged by the U.S. Securities and Exchange Commission over recordkeeping violations. RBC Capital Markets has agreed to pay US$45 million. V

By: financialpost.com

Aug 15 2024
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RBC, TD to pay millions to settle U.S. SEC charges over recordkeeping violations

TORONTO -- RBC and TD Bank Group have agreed to pay tens of millions of dollars in penalties after being charged by the U.S. Securities and Exchange Commission over recordkeeping violations. Read More

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Deutsche Bank CIO Urges Tail-Risk Hedging Despite Market Calm