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SEC charges UBS with supervisory failures in sale of complex products to retail investors

( September 28, 2016, 16:59 GMT | Official Statement) -- MLex Summmary: The US Securities and Exchange Commission on Wednesday announced that UBS Financial Services has agreed to pay more than $15 million to settle charges that it failed to adequately educate and train its sales force about critical aspects of certain complex financial products it sold to retail investors. Statement follows in full. Also see document below. ...

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