证券买卖商;
Included in the monetary penalties is a$ 200 million payment to the Securities and Exchange Commission to settle charges that UBS acted as an unregistered broker-dealer and investment adviser.
上述罚金包括了向美国证券交易委员会(SEC)支付的2亿美元,从而就瑞银从事未登记经纪自营商和投资顾问业务的诉讼达成和解。
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