It seems that the latter tragic event finally prompted regulatory action from the Commission's side.

似乎后者悲剧最终促使从委员会的监管行动。

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Rather, the brochure supplement must simply identify the fact that an advisor has a disciplinary event in their past and provide a link to the regulatory web site where that event is described (SEC or FINRA).

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In any event, all of those European countries have ratcheted up their regulatory safeguards.

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