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UBS Settles Charges Related To Investments In Complex Exchange-Traded Product - More Than $8 Million Returning To Harmed Investors As Part Of Ongoing Risk-Based Initiative

UBS Settles Charges Related To Investments In Complex Exchange-Traded Product - More Than $8 Million Returning To Harmed Investors As Part Of Ongoing Risk-Based Initiative
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Enforcement-division-complex-financial-instruments-unit
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UBS unit to pay $8M for ETP compliance failures

UBS unit to pay $8M for ETP compliance failures
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

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Enforcement-division-complex-financial-instruments-unit
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UBS To Pay $8 Million For Alleged ETP Compliance Lapses

UBS To Pay $8 Million For Alleged ETP Compliance Lapses
wealthmanagement.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from wealthmanagement.com Daily Mail and Mail on Sunday newspapers.

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UBS settles SEC case involving ETPs for $8.1M | Financial Planning

UBS settles SEC case involving ETPs for $8.1M | Financial Planning
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

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