Scotia Capital USA Inc.

Regulator action

Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

Official designation
U.S. Commodity Futures Trading CommissionUS CFTC Enforcement ActionsUnited StatesSettled
Reference 8699-23cftc.gov

Supporting documents1

CFTC Orders The Bank of Nova Scotia to Pay a $15 Million Penalty for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
2023-05-11
https://www.cftc.gov/PressRoom/PressReleases/8699-23

Addresses1

Washington, D.C.

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.