Latest News
- Disaster and Business Continuity
- Derivatives Operations +
-
Securities Operations
+
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
The SEC has cited UBS for not implementing policies and procedures that provided all the relevant information about highly complex instruments.
UBS will be paying $19.5 million to the SEC to settle charges that it “made false or misleading statements and omissions” when offering materials to U.S. investors who were sold structured notes tied to a proprietary foreign exchange trading strategy, say SEC officials. The SEC is not alleging that UBS officials intended to defraud investors...
Already a subscriber? Login here
