From August 2012 through September 2020, Credit Suisse failed to establish and maintain a supervisory system and procedures reasonably designed to achieve compliance with federal securities laws and FINRA rules prohibiting various forms of manipulative and insider trading. The firm's supervisory failures caused hundreds of millions of trade, order, and position records to be omitted from the firm's surveillance systems.

From July to September 2022, DBS distributed certain retail communications regarding its mobile application and crypto assets or crypto asset-related services that failed to clearly disclose that the crypto assets were not offered through a registered broker-dealer or that did not provide a fair and balanced presentation of the benefits and risks of the products discussed. Therefore, DBS violated FINRA Rules 2210(d) and 2010 and is censured and fined $85,000.