Off-market trades land RBC Dominion with $1 million fine [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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US:NYSE Investor Relations:
baytexenergy.com/investor/overview-investor-relations.cfm
Company Research
Source: Wealth Professional
RBC Dominion Securities, Inc. has agreed to a $1 million fine and other sanctions following an investigation by the Canadian Investment Regulatory Organization. The regulator's enforcement staff discovered that RBC DS had engaged in trades of shares in Baytex Energy Corp. on behalf of Canadian investors on September 18, 2023. Baytex is inter-listed on the TSX and NYSE. There were two trades, the purchase of the selling shares (the take on) and the ultimate sale to clients (the unwinding). Originally the acquisition of the shares was due to be executed by RBS DS and entered on a marketplace but it was subsequently agreed with shareholders that it would take place as a block trade by RBC Capital Markets LLC, a direct subsidiary of Royal Bank of Canada. RBC DS is an affiliate of RBC Capital Markets LLC. The shares were transferred from RBC Capital Markets LLC to RBC DS for ultimate sale to ten clients. Both trades should have been entered on a marketplace in accordance with th
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News
- Should Income Investors Look At Baytex Energy Corp. (TSE:BTE) Before Its Ex-Dividend? [Yahoo! Finance]Yahoo! Finance
- Bullish Baytex Energy Insiders Loaded Up On CA$1.62m Of Stock [Yahoo! Finance]Yahoo! Finance
- Are Investors Undervaluing Baytex Energy (BTE) Right Now? [Yahoo! Finance]Yahoo! Finance
- Baytex Energy (TSE:BTE) Is Paying Out A Dividend Of CA$0.0225 [Yahoo! Finance]Yahoo! Finance
- CIRO backs up its decision to impose $1M fine for off-market trade by repeat offender [Wealth Professional (Canada)]Wealth Professional
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