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CIBC, SEC and CFTC
CIBC settles with U.S. regulators over record-keeping violations
Canadian Imperial Bank of Commerce has become the last of Canada’s largest banks to face a multimillion-dollar penalty from U.S. regulators over employees’ use of unapproved communication methods. CIBC will pay US$30-million to the Commodity Futures Trading Commission and US$12-million to the Securities and Exchange Commission,
SEC, CFTC Charge CIBC With Record-Keeping Penalties
Canadian Imperial Bank of Commerce (CM) was charged with penalties by the Securities and Exchange Commission, and the Commodity
CIBC Hit With Record-Keeping Penalties in U.S. From CFTC, SEC
The CFTC order imposes a $30 million civil monetary penalty and orders CIBC to cease and desist from further violations of record-keeping and supervision requirements. The commission said it also was ordering CIBC, which admitted the facts in the order, to engage in specific remedial undertakings.
Wall St Firms to Pay Combined $100 Million for Record-Keeping Violations
(Reuters) - Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve allegations they failed to keep proper records of electronic communications, U.S. regulators' latest in a series of such enforcement actions, the U.S. Securities and Exchange Commission announced Tuesday.
CIBC paying US$42 million for U.S. records-keeping violations
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2d
CIBC fined $1.25 mln by CFTC for swap reporting delays
Canadian Imperial Bank of Commerce will have to pay a penalty of $1.25 million to the Commodity Futures Trading Commission ...
Investment Executive
1d
CIBC chronically late with trade reporting: CFTC
The U.S. Commodity Futures Trading Commission (CFTC) is sanctioning CIBC for swaps reporting failures. The derivatives ...
2d
CIBC, Invesco, Stifel Pay Millions to Settle WhatsApp Probes (2)
US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ electronic communications, the latest fallout from the so-called WhatsApp ...
wealthprofessional.ca
2d
Two Canadian firms will pay millions to US SEC in settlement
The US Securities and Exchange Commission (SEC) announced today that 11 firms are being ordered to pay $88 million to settle ...
Investment Executive
2d
CIBC, Canaccord get knuckles rapped by CFTC, SEC
CIBC and Canaccord Genuity LLC are facing fines in the latest round of disciplinary actions for records-keeping violations in ...
2d
CFTC orders Canadian Imperial Bank of Commerce to pay $30 million -statement
The Commodity Futures Trading Commission on Tuesday ordered the Canadian Imperial Bank of Commerce to pay $30 million for ...
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