Tag: Financial Industry Regulatory Authority

Regulation January 26, 2022

FINRA Fines Credit Suisse $9 Million for Violating Customer Protection Rule

The regulator accused the firm of failing to maintain control of billions of dollars of margin securities.

Asset Management Culture July 6, 2020

Former Bridgewater Co-Chief Eileen Murray Appointed to FINRA, HSBC Positions

One of the most notable female leaders in finance has accepted two new leadership positions after her exit from Bridgewater.