Compliance Pro Overstepped In Database Use, UBS Exec Says
Law360, London (May 7, 2019, 11:16 PM BST) -- A senior UBS executive told a London jury Tuesday that a former compliance officer accused of passing confidential information to a trader friend should not have been using the bank’s internal database to look at client deals she wasn’t involved with.
UBS executive Saiyeh Jawanmardi testified in the insider dealing trial of a former compliance officer and the day-trading friend to whom she's accused of passing sensitive deal information, saying the Swiss banking giant puts internal barriers around “price-sensitive” client news. And that even includes keeping it from the eyes of other business units, Jawanmardi told the jury at Southwark Crown...
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