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Indiana Receives Settlement $ from RBC Capital Markets

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Secretary of State
Indiana Secretary of State Connie Lawson today announced Indiana has received almost 37-thousand dollars from RBC Capital Markets as the result of a settlement into a multi-state investigation that some RBC employees who were not registered to sell securities had been accepting orders. Indiana Securities Commissioner says RBC Capital Markets, part of the Royal Bank of Canada and the fifth largest bank in North America, has agreed to comply with Indiana securities law. RBC has agreed to require its staff to obtain the necessary licenses and comply with state registration requirements. It has also enhanced its computerized order entry system to automatically validate the person entering the order is properly registered to sell securities in the state where the client lives.


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