FINRA Fines Citigroup $15 Million for Supervisory Failures
The Financial Industry Regulatory Authority fined Citigroup Global Markets $15 million last week for failing to adequately supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff. In settling this matter, Citigroup neither admitted nor denied the charges, but consented to the entry of ...
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This webinar tackles the current legal landscape head-on, giving compliance officers a practical lens on the latest developments impacting your oversight responsibilities.