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: Securities Law Prof Blog

UBS Settles SEC Charges It Facilitated Clients' Tax Avoidance

By Securites Lawprof

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The SEC filed an enforcement action against UBS AG, charging the firm with acting as an unregistered broker-dealer and investment adviser. According to its complaint, UBS's conduct facilitated the ability of certain U.S. clients to maintain undisclosed accounts in Switzerland...

Full post as published by Securities Law Prof Blog on February 18, 2009 (boomark / email).

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