FINRA and major Exchanges impose $6.5m fine on Credit Suisse Securities over supervisory violations
Maria Nikolova
FinanceFeeds, 23 December 2019
FINRA and the Exchanges found that for a period of four years, Credit Suisse did not establish a supervisory system reasonably designed to monitor for potential spoofing, layering, wash sales and pre-arranged trading by its DMA clients.
