Violation Tracker Individual Record
Company:UBS Willow Management LLC and UBS Fund Advisor LLC
Date:October 19, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
The Securities and Exchange Commission announced that two UBS advisory firms agreed to settle charges arising from their roles in failing to disclose a change in investment strategy by UBS Willow Fund LLC, a closed-end fund they advised.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Switzerland
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
Source of Data:
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