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Violation Tracker Individual Record

Company: Bank of Nova Scotia
Current Parent Company: Scotiabank
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $375,000
Year: 2024
Date: September 25, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced settled charges against 23 entities and individuals for failures to timely report information about their holdings and transactions in public company stock.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Canada
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.