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Credit Suisse to Pay $10 Million After SEC Alleges Prohibited Underwriting, Advising

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Credit Suisse to Pay $10 Million After SEC Alleges Prohibited Underwriting, Advising

By Ben Glickman Credit Suisse Securities and two affiliated entities will pay more than $10 million to settle charges from the U.S. Securities and Exchange Commission that it allegedly. -December 13, 2023 at 04:43 pm EST - MarketScreener

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SEC says Credit Suisse entities to pay $10 million over prohibited mutual fund services

SEC says Credit Suisse entities to pay $10 million over prohibited mutual fund services
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Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services

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SEC says Credit Suisse entities to pay $10 million over prohibited mutual fund services

The U.S. Securities and Exchange Commission said on Wednesday that Credit Suisse Securities and two affiliated Credit Suisse entities had agreed to pay over $10 million to settle charges they.

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