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 Issuer Reporting and Disclosure

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 $375,000

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."