UBS Advisory Firms Pay $17.5M For Failure to Disclose Changes in Investment Strategy
The SEC announced that UBS Willow Management LLC and UBS Fund Advisor LLC agreed to pay a total of approximately $17.5 million, more than...
SEC Forces UBS to Pay $19.5m Penalty Relating to Structured Notes
In a first of its kind enforcement action, UBS AG, one of the world's largest structured notes issuers, agreed to pay $19.5 million to...
