All Santander US Capital Markets articles
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News BriefSEC issues $63M in fines to dozen firms in ongoing off-channel comms sweep
Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.
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Blog
Amherst appoints Santander risk chief as deputy investment chief
The Amherst Group, a real estate investment, development and operating platform specializing in residential assets, announced that Santander US Capital Markets’ chief risk officer Paul Nicholson has joined the firm as the deputy chief investment officer.