MX sanctions Citi for reporting violations [Investment Executive - News]
Citigroup, Inc. (C)
Last citigroup, inc. earnings: 4/15 08:00 am
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Source: Investment Executive - News
Citigroup Global Markets Inc. has been sanctioned in a settlement with the regulatory division of the Bourse de Montreal Inc. (MX) over reporting deficiencies uncovered in a compliance review. The MX disciplinary committee approved a settlement in which Citigroup agreed to a fine of $138,000 and to pay $10,600 in costs to resolve violations stemming from derivatives reporting violations that were first detected in 2019. According to the settlement, the Bourse carried out a compliance exam in 2019 of Citigroup that found “a number of critical findings … related to misreporting” of the firm’s trading positions. In 2020, the MX opened an investigation, which ultimately concluded that its rules were breached in connection with the reporting issues. Specifically, in a sample of 25 random trading days, MX found 43 examples of incorrectly reported positions. “The investigation revealed that the [firm’s] procedures applicable at that time did not explain how [large open position reportin
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- 9/4/24 - Form 424B2
- 9/4/24 - Form 424B2
- C's page on the SEC website