BAX Securities Law™
  • Home
  • About Us
    • Who We Are
    • Our Commitment
    • Fees
    • Community
  • Our Practice
    • Financial Services Regulation
    • Fintech
    • Capital Raising
    • Mergers & Acquisitions
    • Real Estate Syndications
    • Registrant Regulation
    • Investment Funds
    • Climate Change & Emissions Trading
    • Regulatory Compliance
  • Team
    • Professionals
      • Barbara Hendrickson
    • Administration
    • Top Dog
  • News Updates
  • Contact Us
Select Page

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...
Join Our Mailing List
.;;;;;;;;;;;;;;;;;;;;;;