Credit Suisse Securities agreed to pay a $9 million fine for failing to comply with securities laws and rules involving potential conflicts of interest and the safeguarding of customer securities, the Financial Industry Regulatory Authority (FINRA) announced Thursday.

As part of a consent order, Credit Suisse accepted a censure and neither admitted nor denied FINRA’s findings.

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Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,...