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KM Financial Solutions | U.S. SEC fines Cantor, BMO Capital Markets over improper handling of ADRs
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U.S. SEC fines Cantor, BMO Capital Markets over improper handling of ADRs

15 Aug U.S. SEC fines Cantor, BMO Capital Markets over improper handling of ADRs

Posted at 18:54h in News by
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The Securities and Exchange
Commission (SEC) on Friday said Cantor Fitzgerald & Co and BMO
Capital Markets had agreed to pay $647,000 and $3.9 million
respectively to settle charges of improper handling of
“pre-released” American Depositary Receipts (ADRs).

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