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Showing 1 - 2 of 2 results for "Osman Nawaz"

Bloomberg pays US$5m in SEC charges

CASSANDRA BALDINI  |  TUESDAY, 24 JAN 2023
... information to their customers about their valuation processes," SEC chief enforcement's complex financial instruments unit Osman Nawaz said. "This matter underscores that we will hold service providers, such as Bloomberg, accountable for misrepresentations ...

SEC fines UBS Financial Services over fraud charges

JAMIE WILLIAMSON  |  THURSDAY, 30 JUN 2022
... understanding of the risks those products present," chief of the Division of Enforcement's Complex Financial Instruments Unit, Osman Nawaz said. "As fiduciaries, advisers also must make suitable recommendations to their clients. Complex products can ...
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