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Royal Bank of Canada, Toronto Dominion Bank to Pay OSC Over $24 Million for Foreign Exchange Compliance Failures

by Barbara Hendrickson | Sep 4, 2019

The Royal Bank of Canada (RBC) and the Toronto Dominion Bank (TD) have agreed to pay the Ontario Securities Commission (OSC) over CAD $24 million for their failure to properly supervise their respective Foreign Exchange (FX) traders who exchanged confidential client...

About BAX Corporate Securities & Financial Services Lawyers

BAX practises in the securities and financial services regulatory areas and has acted as counsel to major Canadian and American corporations, market participants.

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416.601.1004
bhendrickson@baxsecuritieslaw.com

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