BMO资本市场支付4 000多万美元,用以结算证交会对误导性抵押债券销售收取的手续费。 BMO Capital Markets pays over $40 million to settle SEC charges over misleading mortgage bond sales.

BMO Capital Markets 已同意支付超过 4000 万美元，以解决 SEC 对其机构债券部门监管失败的指控。 BMO Capital Markets has agreed to pay over $40 million to settle charges from the SEC over supervision failures at its agency bond desk. 证交会称,BMO未能监测雇员以误导性描述出售抵押担保债券的情况。 The SEC alleged that BMO failed to monitor employees selling mortgage-backed bonds with misleading descriptions. BMO既不承认也不否认这项指控,但将支付1 940万美元的拆解费、220万美元的利息和1 900万美元的罚款。 BMO neither admitted nor denied the charges but will pay $19.4 million in disgorgement, $2.2 million in interest, and a $19 million penalty.