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Entries in Credit Suisse (25)

Monday
Dec052016

FINRA fines Credit Suisse securities unit $16.5 million for ‘significant AML deficiencies’ 

The Financial Industry Regulatory Authority said Monday it fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering and supervision violations.

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Tuesday
Jul052016

FINRA fines Deutsche Bank $6 million for missing and late trade info

Deutsche Bank Securities Inc. paid a $6 million fine for failing to provide complete and accurate trade data to FINRA and the SEC. It was the biggest fine the Wall Street regulator has imposed for so-called blue sheet violations.

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Tuesday
Jun142016

Job: Global Anti-Corruption - Controls, Risk & Surveillance Specialist (Credit Suisse - New York, NY) 

Job Title: Global Anti-Corruption - Controls, Risk & Surveillance Specialist

Employer: Credit Suisse

Location: New York, NY, United States

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Monday
Jun062016

Job: Global Anti-Bribery & Corruption Officer (Credit Suisse - New York, NY)

Job Title: Global Anti-Bribery & Corruption Officer

Employer: Credit Suisse 

Location: New York, NY, United States

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Wednesday
Feb242016

HSBC: SEC investigating Asia hiring practices

HSBC Holdings said in an earnings release Monday that the SEC is investigating the bank's hiring practices in Asia.

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Monday
Feb082016

Julius Baer pays $547 million for U.S. tax scam, two bankers plead guilty

Two former Julius Baer bankers pleaded guilty Thursday and the Swiss bank paid $547 million to settle a criminal case for helping clients cheat on their U.S. taxes.

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Tuesday
Sep292015

Credit Suisse pays $4.25 million for ‘blue sheet’ compliance gaps

Credit Suisse Securities (USA) LLC agreed Monday to pay $4.25 million for submitting deficient information to the SEC over a two-year period about trades by customers, commonly referred to as “blue sheet data.”

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Tuesday
Sep152015

Brazil investigates big banks for exchange rate manipulation

Brazil's antitrust agency opened an investigation into fifteen foreign banks and thirty individuals for allegedly forming a cartel to manipulate exchange rates of local Brazilian reals and foreign currency.

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Monday
Aug242015

Job: Global Anti-Corruption Compliance Program Officer (Credit Suisse --  NYC)

Job Title: Global Anti-Corruption Compliance Program Officer

Employer: Credit Suisse

Location: New York, NY USA

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Tuesday
Aug182015

BNY Mellon pays $15 million in FCPA settlement for internship hiring practices

The Securities and Exchange Commission Tuesday said BNY Mellon agreed to pay $14.8 million to settle charges that it violated the Foreign Corrupt Practices Act by providing valuable student internships to family members of foreign government officials affiliated with a Middle Eastern sovereign wealth fund.

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Tuesday
Jul282015

Compliance officer shortage hurts Singapore banks

Along with New York, London, and Hong Kong, Singapore now ranks as one of the world's most important financial centers. And to protect its new-found status, the tiny Southeast Asia country has cracked down hard on money laundering.

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Tuesday
May192015

New SEC subpoena asks if BNY Mellon hired government officials

In a securities filing this month, Bank of New York Mellon Corp. said it received a subpoena from the SEC asking about job offers to government officials and internships awarded to their family members.

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