Day: January 21, 2022

Credit Suisse

Credit Suisse Unit Fined $9 Million for Compliance Failures

Securities industry regulator FINRA has hit Credit Suisse Securities with a $9 million fine for failing to comply with rules requiring firms to disclose potential conflicts of interest when issuing research reports and for violating the Securities and Exchange Commission’s Customer Protection Rule. As part of the settlement, FINRA also Read More