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Showing 1 - 1 of 1 results for "Santander US Capital Markets"

SEC fines private equity firms for recordkeeping failures

KARREN VERGARA  |  TUESDAY, 14 JAN 2025
... self-reported and subsequently paid a significantly lower civil penalty of US$600,000. Charles Schwab and Santander US Capital Markets agreed to US$10 million and US$4 million respectively. "When firms fall short of those obligations, the consequences ...
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