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In June 2022, the U.S. Securities and Exchange Commission (SEC) filed its first complaint alleging violations of both the care and compliance obligations of Regulation Best Interest, or.

United statesExchange commissionInternational securities incCredit suisse securities united statesRegulation best interestNot prohibit certain conduct citedChief compliance officerDue diligence reportNot specifyReasonable diligenceNot distinguish betweenAssociated personsSuisse securities