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SEC says the bank acted as an underwriter and investment adviser to mutual funds after being prohibited from doing so by a New Jersey court

Credit Suisse Securities and two affiliated entities will pay more than $10m to settle charges from the US Securities and Exchange Commission that it allegedly provided certain prohibited services.

The SEC said on 13 December that the bank acted as an underwriter and investment adviser to mutual funds after being prohibited from doing so by a New Jersey court in October 2022.

Credit Suisse to pay $10m after SEC alleges prohibited underwriting, advising

Ben Glickman, The Wall Street Journal

Financial Regulation

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