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UBS Settles Options Trading Item Sales Issue with US SEC, To Pay US$25M
According to the U.S. Securities and Exchange Commission, UBS will pay US$25 million to settle SEC fraud charges concerning an options trading strategy allegedly misleading investo...
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UBS Settles Options Trading Item Sales Issue with US SEC, To Pay US$25M
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2022/06/30 12:37
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According to the U.S. Securities and Exchange Commission, UBS will pay US$25 million to settle SEC fraud charges concerning an options trading strategy allegedly misleading investors. This included US$5.8 million in disgorgement, US$1.4 million in prejudgment interest and US$17.4 million in civil penalty.
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