To view this content, you need to sign in.
You should only be asked to sign in once. Not the case? Click here
Register now to access this content and more for free.
UBS fined $10 million for failing to supervise municipal bond sales
UBS has taken a number of remedial steps, including reviewing and improving its retail order period policies and procedures, introducing retail order period training for registered representatives and other employees whose work relates to municipal bond trading, enhancing monitors and controls for the retail order period, and revising its account opening and client verification procedures
