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Violation Tracker UK Individual Case

Company: Credit Suisse Securities (Europe) Limited et al.
Current Parent CompanyUBS
Parent at the Time of the Penalty Announcement: Credit Suisse
Recap of Ownership Changes: UBS took over Credit Suisse in 2023
Penalty: £1,750,000
Year: 2010
Date: 8 April, 2010
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: Credit Suisse Securities (Europe) Limited, Credit Suisse (UK) Limited, Credit Suisse International, and Credit Suisse AG paid a £1.75 million fine in settlement of findings by the FSA that the company failed to submit accurate transaction reports to the Authority.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
HQ Country of Parent: Switzerland
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: banking & securities
Source of Data(click here)