Defendant Name: The Bank of Nova Scotia

Defendant Type: Public Company
SIC Code: 6021
CUSIP: 06414910

Initial Case Details

Legal Case Name In the Matter of The Bank of Nova Scotia
First Document Date 25-Sep-2024
Initial Filing Format Administrative Action
File Number 3-22176
Allegation Type Other

Violations Alleged

Other
• Section 13(d) Exchange Act; Rule 13d-1 Exchange Act

Resolutions

First Resolution Date 25-Sep-2024
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-101160 25-Sep-2024 Administrative Proceeding
Order Instituting Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order
On September 25, 2024, the SEC instituted cease-and-desist proceedings against The Bank of Nova Scotia, stating: "These proceedings arise out of violations of the beneficial ownership reporting requirements of the federal securities laws."
2024-148_3-22176 25-Sep-2024 Press Release--Administrative Proceeding
SEC Levies More Than $3.8 Million in Penalties in Sweep of Late Beneficial Ownership and InsiderTransaction Reports
The Commission stated: "The Securities and Exchange Commission today announced settled charges against 23 entities and individuals for failures to timely report in formation about their holdings and transactions in public company stock. Two public companies were also charged for contributing to filing failures by their officers and directors and failing to report their insiders' filing delinquencies as required."