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SEC fines BMO Capital Markets US$40m over misleading bond marketing
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SEC fines BMO Capital Markets US$40m over misleading bond marketing

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BMO capital markets corp. has agreed to pay more than US$40 million to settle securities and exchange commission charges over misleading marketing practices in...
Citigroup Global Markets hit with $2.9m SEC underwriting expenses recordkeeping penalty
Market News

Citigroup Global Markets hit with $2.9m SEC underwriting expenses recordkeeping penalty

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Citigroup Global Markets (CGMI) has settled a US$2.9 million penalty with the US Securities and Exchange Commission (SEC) for underwriting expenses recordkeeping violations. The SEC...

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