FINRA Fines Credit Suisse Securities USD 9 Million for Non-Compliance


The United States Financial Industry Regulatory Authority (FINRA) has announced that it has imposed a USD 9 million fine on Credit Suisse Securities for non-compliance with securities laws and regulations designed to protect investors, including FINRA rules requiring companies to disclose potential conflicts of interest when issuing research reports.

As part of the agreement, FINRA also required Credit Suisse to certify that it has put in place supervisory systems and procedures that are reasonably designed to comply with the Rules required by FINRA.


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