SEC sanctions firms for pervasive record-keeping violations
Firm violated SEC and SRO rules, including analyst disclosure requirements
News reports identified the hedge fund as New York-based Archegos Capital Management
Stable income, rising wealth a bright spot for big global investment firms
FINRA, U.S. exchanges found Credit Suisse failed to oversee direct access clients
Three quarters of institutional investors surveyed reported that their hedge fund holdings met, or exceeded, their return expectations in 2017
Swiss bank settles with SEC over serving U.S. clients without proper registration
Urs Zulauf to support bank in tax compliance
Bond pricing allowed Credit Suisse to achieve fictional profits
Bank taking steps to significantly reduce risk-weighted assets in investment banking