Welcome to the latest edition of the UDAAP Round-Up. This newsletter is designed to provide you with a periodic resource to stay abreast of federal activities regarding the prohibition on unfair, deceptive, or abusive acts or practices (“UDAAPs”) in the consumer financial services space. In this edition, we cover notable policy, enforcement, and supervisory developments from April 2022 through September 2022.
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6. Februar2023
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3. Februar2023
Regulation Best Interest – SEC Observations from Broker-Dealer Examinations
SEC risk alert highlights areas of deficiencies and examples of weak practices
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