Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: RBC Capital Markets, LLC
Current Parent Company: Royal Bank of Canada
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $5,000,000
Year: 2019
Date: October 1, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The U.S. Commodity Futures Trading Commissionannounced an order filing and setting charges against RBC Capital Markets, LLC, a registered futures commission merchant, for failing to meet its supervisory obligations, which resulted in hundreds of unlawful trades and other violations over the period of at least late 2011 through May 2017.
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.