Defendant Name:
Royal Bank of Scotland plc
Defendant Type:
Public Company
SIC Code:
6029
CUSIP:
78009768
Document Reference:
34-73045
Document Details
Legal Case Name
In the Matter of The Royal Bank of Scotland Group plc
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
Document Date
10-Sep-2014
Document Format
Administrative Proceeding
Allegation Type
Issuer Reporting and Disclosure
Document Summary
On September 10, 2014, the SEC instituted administrative proceedings pursuant to Section 21C of the Securities Exchange Act of 1934 against The Royal Bank of Scotland Group plc. The SEC alleged that the Royal Bank of Scotland Group violated the beneficial ownership reporting requirements of the federal securities laws.
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$120,000.00
Shared: