July 24, 2018 BY Valentina Kirilova
Mizuho Securities charged with failure to safeguard customer information
The Securities and Exchange Commission (SEC) announced that it has charged Mizuho Securities USA LLC for its failure to safeguard information pertaining to stock buybacks by its issuer customers. Mizuho failed to maintain and enforce policies and procedures aimed at preventing the misuse of material nonpublic information, including maintaining effective information barriers between different trading…
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