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Respondent Charged with Prohibited Foreign Exchange Transactions with Affiliates; Ordered to Cease-and-Desist

In the Matter of U.S. Bank National Association, Respondent

2005
$5 Million

Respondent was found, due to various compliance and controls failures, to have engaged in prohibited foreign exchange transactions with two funds for which it was the investment adviser: First American Insurance Portfolios, Inc., and First American Investment Funds, Inc. In addition to being ordered to cease and desist and pay a monetary penalty, respondent agreed to remedial undertakings.

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Respondent Charged with Prohibited Foreign Exchange Transactions with Affiliates; Ordered to Cease-and-Desist

In the Matter of U.S. Bank National Association, Respondent

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