What laws or principles were violated in this case?

In this activity, you have an opportunity to practice writing an executive summary similar to the one you must create for your final project. The executive summary is typically written after the case analysis and recommendations have been completed. This assignment introduces you to some of the questions you should ask during your analysis of the “Wealth Management Crisis at UBS” case study in the next module. The purpose of the executive summary is to highlight the principal findings and recommendations for the executive team, specifically:

1. What laws or principles were violated in this case?
2. Was there negligence by the company, or were the company’s polices sufficient at the time? Explain.
3. What were the real and perceived repercussions of these violations?

These are questions you should consider for this assignment and will answer in the final project. 
You should assume your audience is made up of the review board executives for your company, who will use your summary to prepare themselves for a case briefing. Refer to the Sizzling Saga of Sunbeam in your textbook, and develop an executive summary that:

• Aligns with the needs and interests of the audience
• Highlights principal findings and recommendations
• Uses language appropriate for busy executives