Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Bank of Nova Scotia
Current Parent Company: Scotiabank
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $800,000
Year: 2018
Date: October 1, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Commodity Futures Trading Commission issued an Order filing and settling charges against the Bank of Nova Scotia for engaging in multiple acts of spoofing in gold and silver futures contracts traded on the Chicago Mercantile Exchange (CME).
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Canada
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.