Monthly Archives: May 2018

U.S. – FINRA Fine CS Options Reports

On 16 May, FINRA fined Credit Suisse $200k for option reports. Bank fined $200k, of which $75k payable to FINRA and install compliance controls. For reporting options positions to large options positions reporting (LOPR) system. Alleged Violations Bank failed to report over the counter (OTC) options positions to the LOPR system. Reported positions with inaccurate…
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