Defendant Name:
ITG Canada Corp.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Virtu Financial, Inc.
SIC Code:
9999
CUSIP:
92825410
Document Reference:
34-90741
Document Details
Legal Case Name
In the Matter of ITG Canada Corp. n/k/a Virtu ITG Canada Corp.
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
21-Dec-2020
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On December 21, 2020, the SEC instituted settled cease-and desist proceedings against ITG Canada, Corp., stating: "These proceedings concern ITG Canada's role in causing a U.S. executing broker
(the "Executing Broker") to violate the order-marking and locate requirements of Regulation
SHO of the Exchange Act."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Undertaking to Cooperate in Related Action
Cooperation Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$200,000.00
Shared:
