- FINRA Issues Regulatory Notice on Failure to Supervise Liability for Chief Compliance Officers Sidley Austin LLP
- FINRA Releases 2022 Report on Examination and Risk Monitoring Program JD Supra
- Finra Pinpoints Scope of Potential Liability for Compliance Chiefs The Wall Street Journal
- What Is the Financial Industry Regulatory Authority (FINRA)? Seeking Alpha
- FINRA Issues Reminder About the Scope of Chief Compliance Officer Supervisory Liability Business Wire
- View Full Coverage on Google News
The firm has been fined for failing to protect customers’ securities as well as for inaccurately disclosing conflicts of interest.
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The Financial Industry Regulatory Authority has ordered a compliance officer to pay $25,000 for failing to establish and implement a “reasonably...