BMO, SEC

BMO Capital markets settles with SEC over bond desk supervision
BMO Capital Markets agreed to pay more than $40 million to settle U.S. Securities and Exchange Commission charges it failed to properly supervise employees who sold mortgage-backed bonds, the regulator said on Monday.
BMO Capital Markets to pay $40M in SEC settlement
Canadian bank's capital markets arm reportedly failed to detect representatives' misleading disclosures involving $3 billion of mortgage-backed "sliver bonds" sold over a multi-year period.
SEC charges BMO US$40 million for selling 'misleading' mortgage-backed bonds
A regulator in the United States has charged a unit of the Bank of Montreal (BMO) more than US$40 million for selling mortgage-backed bonds that it says offered misleading metrics and did not accurately describe the characteristics of the collateral backing the bonds.
BMO unit to pay $40.7 million in US SEC settlement over misleading bond sales
A unit of Bank of Montreal agreed to pay $40.7 million to settle U.S. Securities and Exchange Commission charges that it failed to supervise employees who misled investors about the attractiveness of mortgage-backed bonds the bank was selling.
BMO Unit To Pay $40M in SEC settlement
BMO Capital Markets has agreed to a $40 million settlement with the U.S. Securities and Exchange Commission (SEC) over allegations that the broker-dealer failed to properly supervise employees who provided misleading information about mortgage-backed securities sold between 2020 and 2023,
Broker-dealer BMO Capital Markets to pay $41M to settle trade supervision lapses
A broker-dealer subsidiary of Toronto-based BMO Financial Group will pay nearly $41 million in penalties to the Securities and Exchange Commission to settle allegations that its traders issued misleading disclosures on bonds for three years,
BMO agrees to pay US$40 million to settle SEC charges on supervision failure
The U.S. Securities and Exchange Commission says BMO has agreed to pay more than US$40 million to settle charges related to the bank's alleged supervision failure in bond selling.
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