| 2024-09-25 | regulatory | THE ALLEGATIONS RELATE TO A FAILURE TO TIMELY FILE BENEFICIAL OWNERSHIP REPORTING REQUIREMENTS UNDER SECTION 13(D) OF THE EXCHANGE ACT AND THE RULES PROMULGATED THEREUNDER. THESE RULES REQUIRE ANY PERSON WHO DIRECTLY OR INDIRECTLY ACQUIRES BENEFICIAL OWNERSHIP OF MORE THAN 5% OF A REGISTERED CLASS O… | Final | $375K |
| 2023-05-11 | regulatory | ON MAY 11, 2023, THE BANK OF NOVA SCOTIA ("BNS") SETTLED AN ENFORCEMENT ACTION WITH THE CFTC FOR VIOLATIONS OF THE COMMODITY EXCHANGE ACT (THE "ACT") AND COMMISSION REGULATIONS. THE CFTC ISSUED AN ORDER FINDING THAT BNS EMPLOYEES HAD COMMUNICATED BOTH INTERNALLY AND EXTERNALLY REGARDING BNS'S COMMOD… | Final | $15.0M |
| 2020-08-19 | regulatory | ON AUGUST 19, 2020, THE BANK OF NOVA SCOTIA ("BNS") SETTLED THREE RELATED ENFORCEMENT ACTIONS WITH THE CFTC FOR VIOLATIONS OF THE COMMODITY EXCHANGE ACT (THE "ACT") AND COMMISSION REGULATIONS. THE CFTC ISSUED THREE ORDERS, FILING AND SETTLING CHARGES AGAINST BNS FOR SPOOFING (THE "SPOOFING ORDER"),… | Final | $50.0M |
| 2020-08-19 | criminal | AS DESCRIBED IN THE STATEMENT OF FACTS ATTACHED TO THE DPA, FROM APPROXIMATELY JANUARY 2008 TO JULY 2016, FOUR PRECIOUS METALS TRADERS LOCATED IN NEW YORK, LONDON, AND HONG KONG, ENGAGED IN FRAUDULENT AND MANIPULATIVE TRADING PRACTICES IN CONNECTION WITH THE PURCHASE AND SALE OF GOLD AND SILVER FUTU… | Final | — |
| 2018-09-28 | regulatory | DURING THE PERIOD FROM AT LEAST JUNE 2013 THROUGH JUNE 2016, BANK OF NOVA SCOTIA, BY AND THROUGH TRADERS ON ITS PRECIOUS METALS TRADING DESK, ENGAGED IN THE DISRUPTIVE TRADING PRACTICE OF "SPOOFING" (BIDDING OR OFFERING WITH THE INTENT TO CANCEL THE BID OR OFFER BEFORE EXECUTION) IN GOLD AND SILVER… | Final | $800K |