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.
- Key Docs
- Official SEC press release
