| 2023-07-24 | regulatory | ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDIT SUISSE, FINDING THAT CREDIT SUISSE HAD SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THE ARCHEGOS FAMILY OFFICE DUE TO VARIOUS ORGANIZATIONAL… | Final | — |
| 2023-07-21 | regulatory | THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOS CAPITAL MANAGEMENT LP, ALLEGES VIOLATIONS UNDER SECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS 252.155-157 OF REGULATION VY OF THE BOARD OF GOVERNORS; THE ALLEGA… | Final | $268.5M |
| 2021-10-19 | regulatory | THE UNITED KINGDOM FINANCIAL CONDUCT AUTHORITY ("FCA") BROUGHT AN ACTION AGAINST CREDIT SUISSE INTERNATIONAL, CREDIT SUISSE SECURITIES (EUROPE) LTD., AND CREDIT SUISSE GROUP AG IN CONNECTION WITH THREE INTERCONNECTED TRANSACTIONS FROM 2013 - 2016: (I) A SYNDICATED LOAN TO A MOZAMBICAN STATE-OWNED EN… | Final | $200.7M |
| 2021-10-19 | regulatory | -THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY ("FINMA") BROUGHT AN ACTION AGAINST CREDIT SUISSE INTERNATIONAL, CREDIT SUISSE SECURITIES (EUROPE) LTD., AND CREDIT SUISSE GROUP AG IN CONNECTION WITH THREE INTERCONNECTED TRANSACTIONS FROM 2013 - 2016: (I) A SYNDICATED LOAN TO A MOZAMBICAN STATE-OWN… | Final | — |
| 2021-10-19 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") BROUGHT AN ENFORCEMENT ACTION AGAINST CREDIT SUISSE GROUP AG ("CS GROUP") PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") AND SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), WHICH THAT CS GROUP VIOLATED SECTI… | Final | $99.1M |
| 2018-07-05 | regulatory | THE SEC ORDER ALLEGES THAT BETWEEN 2007 AND 2013, EMPLOYEES OF CREDIT SUISSE (HONG KONG) LIMITED IN THE ASIA PACIFIC REGION PROVIDED EMPLOYMENT OPPORTUNITIES TO RELATIVES AND ASSOCIATES OF GOVERNMENT OFFICIALS AND STATE-0WNED ENTERPRISE EMPLOYEES IN CHINA AND HONG KONG TO INFLUENCE THE AWARDING OF I… | Final | — |
| 2011-03-07 | regulatory | THE ALLEGATIONS ARE RELATED TO CSAG'S SOLICITATION AND PROVISION OF BROKER-DEALER AND INVESTMENT ADVICE SERVICES TO CERTAIN U.S. CROSS-BORDER CLIENTS DURING A TIME WHICH CSAG WAS NOT REGISTERED WITH THE COMMISSION AS A BROKER-DEALER OR INVESTMENT ADVISER. | Final | $196.5M |