U.S. SEC fines Cantor, BMO Capital Markets over improper handling of ADRs
The Securities and Exchange
Commission (SEC) on Friday said Cantor Fitzgerald & Co and BMO
Capital Markets had agreed to pay $647,000 and $3.9 million
respectively to settle charges of improper handling of
“pre-released” American Depositary Receipts (ADRs).
Commission (SEC) on Friday said Cantor Fitzgerald & Co and BMO
Capital Markets had agreed to pay $647,000 and $3.9 million
respectively to settle charges of improper handling of
“pre-released” American Depositary Receipts (ADRs).
Posted by Reuters