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International Online Trading Platforms Pay More Than $4 Million Following Settlement With The Ontario Securities Commission

International Online Trading Platforms Pay More Than $4 Million Following Settlement With The Ontario Securities Commission
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Jeff Kehoe , A Panel Of The Ontario Securities Commission , Vantage Global Prime Pty Ltd , Australian Securities Investments Commission , Vantage International Group Ltd , Ontario Securities Commission , Securities Act , Australian Securities , Investments Commission , ஜெஃப் கேோே , வ்யாஂடேஜ் உலகளாவிய ப்ரைம் ப்டி லிமிடெட் , ஆஸ்திரேலிய பத்திரங்கள் முதலீடுகள் தரகு , ஆஂடேரியொ பத்திரங்கள் தரகு , பத்திரங்கள் நாடகம் , ஆஸ்திரேலிய பத்திரங்கள் , முதலீடுகள் தரகு ,

OSC Panel approves settlement with Bloomberg Trading Facility Limited and Bloomberg Trading Facility B.V.

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TORONTO, Dec. 18, 2020 /CNW/ - A Panel of the Ontario Securities Commission (OSC) today approved a
settlement agreement with Bloomberg Trading Facility Limited (BTFL) and Bloomberg Trading Facility B.V. (BV), two foreign-based firms that operate multilateral trading facilities for fixed income securities and swaps. The settlement follows allegations by OSC Staff that the firms operated marketplaces without authorization in Ontario, filed applications for exemptive relief with the Commission containing incomplete and inaccurate information and, in the case of BTFL, failed to comply with terms and conditions set out in an exemptive relief order.
As part of the settlement agreement, BTFL and BV have paid an administrative penalty of CAD $2,506,011.80 and disgorged $663,305.20. The payments take into account, among other things, BTFL and BV s level of cooperation with OSC Staff. To provide transparency to market participants, ....

Jeff Kehoe , A Panel Of The Ontario Securities Commission , Ontario Securities Commission , Bloomberg Trading Facility Limited , Enforcement Branch , For Media Inquiries , For Investor , Industry Inquiries , Toll Free , ஜெஃப் கேோே , ஆஂடேரியொ பத்திரங்கள் தரகு , ப்ளூம்பெர்க் வர்த்தக வசதி வரையறுக்கப்பட்டவை , அமலாக்கம் கிளை , க்கு மீடியா விசாரணைகள் , க்கு முதலீட்டாளர் , தொழில் விசாரணைகள் , சுங்கவரி இலவசம் ,

Ontario Securities Commission Panel Approves Settlement With Bloomberg Trading Facility Limited And Bloomberg Trading Facility B.V.

Date
18/12/2020
A Panel of the Ontario Securities Commission (OSC) today approved a settlement agreement with Bloomberg Trading Facility Limited (BTFL) and Bloomberg Trading Facility B.V. (BV), two foreign-based firms that operate multilateral trading facilities for fixed income securities and swaps. The settlement follows allegations by OSC Staff that the firms operated marketplaces without authorization in Ontario, filed applications for exemptive relief with the Commission containing incomplete and inaccurate information and, in the case of BTFL, failed to comply with terms and conditions set out in an exemptive relief order.
As part of the settlement agreement, BTFL and BV have paid an administrative penalty of CAD $2,506,011.80 and disgorged $663,305.20. The payments take into account, among other things, BTFL and BV’s level of cooperation with OSC Staff. To provide transparency to market participants, OSC Staff have included detailed descriptions of how ....

Jeff Kehoe , A Panel Of The Ontario Securities Commission , Bloomberg Trading Facility Limited , Enforcement Branch , Ontario Securities Commission , ஜெஃப் கேோே , ப்ளூம்பெர்க் வர்த்தக வசதி வரையறுக்கப்பட்டவை , அமலாக்கம் கிளை , ஆஂடேரியொ பத்திரங்கள் தரகு ,