trending Market Intelligence /marketintelligence/en/news-insights/trending/wayoa-gzpxmllicwr8v0pw2 content
BY CONTINUING TO USE THIS SITE, YOU ARE AGREEING TO OUR USE OF COOKIES. REVIEW OUR
PRIVACY & COOKIE NOTICE
Log in to other products

Login to Market Intelligence Platform

 /


Looking for more?

Contact Us

Request a Demo

You're one step closer to unlocking our suite of comprehensive and robust tools.

Fill out the form so we can connect you to the right person.

  • First Name*
  • Last Name*
  • Business Email *
  • Phone *
  • Company Name *
  • City *

* Required

In this list

SEC fines UBS Financial Services $15M for supervisory failures

TMT: Leading Trends And What To Watch

US Utility Commissioners: A Key Factor In Assessing Regulatory Risk

Municipal-Run Fiber Tops 280000 Subscribers In 2018

The Essential Conference 2019 Highlight Reel


SEC fines UBS Financial Services $15M for supervisory failures

The SEC has charged UBSFinancial Services Inc. with failing to properly educate and train itssales force on critical aspects of certain complex financial products it sold toretail investors.

UBS Financial has agreed to pay about $8.2 million in disgorgementand $798,316 in interest along with a $6 million penalty.

The regulator found that the company did not develop and implementpolicies and procedures to educate and train its registered representatives forthe sale of reverse convertible notes so that they could form a reasonable basisto make suitable recommendations.

UBS Financial consented to the SEC's order without admittingor denying the findings.