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10 个月前
BRIEF-SEC says Deutsche Bank is paying $9.5 mln penalty for failing to properly safeguard research information
2016年10月12日 / 下午3点42分 / 10 个月前

BRIEF-SEC says Deutsche Bank is paying $9.5 mln penalty for failing to properly safeguard research information

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Oct 12 (Reuters) -

* U.S. SEC- Deutsche Bank failed to properly safeguard research information

* U.S. SEC- Deutsche Bank Securities agreed to pay $9.5 million penalty for failing to properly safeguard material nonpublic information generated by its research analysts

* SEC- Deutsche Bank published improper research report and failed to properly preserve,provide certain electronic records sought by SEC during investigation

* SEC- Deutsche Bank issued a research report with "buy" rating for big lots that was inconsistent with personal view of analyst who prepared and certified it Source text : bit.ly/2e5NFLD Further company coverage:

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