Defendant Name:
The Bank of Nova Scotia
Defendant Type:
Public Company
SIC Code:
6021
CUSIP:
06414910
Document Reference:
34-101160
Document Details
Legal Case Name
In the Matter of The Bank of Nova Scotia
Document Name
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
Document Date
25-Sep-2024
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Self Reporting to SEC
Monetary Penalties:
Civil Penalty
Individual:
$375,000.00
Shared:
