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Record £28M fine for UBS puts compliance staff on guard

Record £28M fine for UBS puts compliance staff on guard
Published on: 22 March 2019
Published by: Law360
  • Record £28M fine for UBS puts compliance staff on guard

Article summary

Law360, London: This week’s record £27.6m ($34.8m) fine against UBS for misreporting 136 million transactions has underlined the need for banking compliance teams to focus on their trading desks if they hope to avoid falling foul of Europe’s formidable securities rules. or take a trial to read the full analysis.

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