SEC
Whistleblower
Attorneys

August 16, 2019

BMO Capital Markets Corporation

Trading and Pricing

SANCTION AMOUNT: $3964703

Defendants: BMO Capital Markets Corporation

The SEC found that Respondent failed to reasonably supervise its securities lending desk personnel who obtained pre-released American Depositary Receipts when they should have known that the pre-release transactions were not backed by foreign shares as required.

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