CIRO backs up its decision to impose $1M fine for off-market trade by repeat offender [Wealth Professional (Canada)]
Baytex Energy Corp Common Shares (BTE)
Last baytex energy corp common shares earnings: 3/4 06:30 am
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Source: Wealth Professional
The Canadian Investment Regulatory Organization panel that imposed a $1 million financial penalty on RBC Dominion Securities as part of a settlement, says the firm should have known its conduct was improper. Last month CIRO's hearing panel determined that RBC DS had engaged in trades of shares in Baytex Energy Corp. on behalf of Canadian investors on September 18, 2023. There were two trades, the purchase of the selling shares (the take on) and the ultimate sale to clients (the unwinding). Both trades should have been entered on a marketplace in accordance with the rules (UMIR 6.4) unless there was an exception from CIRO . The firm did not seek an exception for the transactions to be off-market trades. In its Reasons for Decision, the regulator noted that RBC DS had been fined $500 million in 2019 for a similar incident. This was a factor in CIRO imposing the million dollar penalty this time because although relating to a single transaction rather than a series of misconduct
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BTE
Sec Filings
- 12/20/24 - Form 6-K
- 12/3/24 - Form 6-K
- 11/5/24 - Form 6-K
- BTE's page on the SEC website