FINRA fines Credit Suisse Securities $9 million for multiple operational failures
Christian Fernsby ▼ | January 21, 2022
FINRA has fined Credit Suisse Securities $9 million for failing to comply with securities laws and rules designed to protect investors, including the Securities and Exchange Commission’s Customer Protection Rule and FINRA rules requiring firms to disclose potential conflicts of interest when issuing research reports.Article continues below Topics: CREDIT SUISSE ■ What to read next
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