SFC fines UBS HK$400m for overcharging 5,000 wealth management clients HK$200m over 10 years

SFC fines UBS HK$400m for overcharging 5,000 wealth management clients HK$200m over 10 years https://ift.tt/eA8V8J
Shocking dishonest behaviour in which they pocketed the difference between a limit order price and a better price obtained in the market for bonds and structured notes. UBS was also fined HK$375m in March for its duff IPO sponsorships.
Source: Webb-site.com | Source date: 11-Nov-2019 16:21

Sourcing from David Webb. Further reading: https://ift.tt/2Ka5je1

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