{"id":4866,"date":"2023-12-15T07:27:30","date_gmt":"2023-12-15T05:27:30","guid":{"rendered":"https:\/\/www.dhcab.com\/?p=4866"},"modified":"2023-12-15T07:27:30","modified_gmt":"2023-12-15T05:27:30","slug":"credit-suisse-entities-to-pay-10-mln-for-providing-prohibited-services","status":"publish","type":"post","link":"https:\/\/www.dhcab.com\/?p=4866","title":{"rendered":"Credit Suisse entities to pay $10 mln for providing prohibited services"},"content":{"rendered":"<div class=\"postie-post\">\n<div>\n<div dir=\"auto\">Credit Suisse Securities and two affiliated firms have agreed to pay more than $10 million to settle US Securities and Exchange Commission charges they provided prohibited services to mutual funds, the regulator said on Wednesday.<\/p>\n<p>A New Jersey court barred Credit Suisse firms from engaging in certain activities in 2022 as part of a settlement in a case involving alleged violations of state laws.<\/p>\n<p>Despite the ban, the firms continued to provide services through June 2023, the SEC said.<\/p>\n<p>Without admitting or denying the SEC&#8217;s findings, Credit Suisse agreed to pay civil penalties of $3.3 million and more than $6.7 million in disgorgement and interest.<\/p><\/div>\n<\/div>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>Credit Suisse Securities and two affiliated firms have agreed to pay more than $10 million to settle US Securities and Exchange Commission charges they provided prohibited services to mutual funds, the regulator said on Wednesday. A New Jersey court barred Credit Suisse firms from engaging in certain activities in 2022 as part of a settlement [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":4867,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[25],"tags":[],"class_list":["post-4866","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-global-issues"],"_links":{"self":[{"href":"https:\/\/www.dhcab.com\/index.php?rest_route=\/wp\/v2\/posts\/4866","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.dhcab.com\/index.php?rest_route=\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.dhcab.com\/index.php?rest_route=\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.dhcab.com\/index.php?rest_route=\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/www.dhcab.com\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=4866"}],"version-history":[{"count":0,"href":"https:\/\/www.dhcab.com\/index.php?rest_route=\/wp\/v2\/posts\/4866\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.dhcab.com\/index.php?rest_route=\/wp\/v2\/media\/4867"}],"wp:attachment":[{"href":"https:\/\/www.dhcab.com\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=4866"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.dhcab.com\/index.php?rest_route=%2Fwp%2Fv2%2Fcategories&post=4866"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.dhcab.com\/index.php?rest_route=%2Fwp%2Fv2%2Ftags&post=4866"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}