UBS to pay $8 mln over poor record keeping - MarketWatch

UBS AG's (UBS, UBSN.VX) broker-dealer unit agreed to pay $8 million to
resolve allegations of inaccurate record-keeping by employees tasked with
confirming short-sale transactions.

According to the Securities and Exchange Commission, employees of the
Switzerland-based bank failed to accurately check when they had located
securities for a short sale.


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Source:
http://www.marketwatch.com/story/ubs-to-pay-8-mln-over-poor-record-keeping-2011-11-10
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