Mark J. Astarita

News

SEC Modernizes Framework for Fund Valuation Practices

The Securities and Exchange Commission today announced that it voted to adopt a new rule that establishes an updated regulatory framework for fund valuation practices.  The rule is designed to clarify how fund boards of directors can satisfy their… Read the Full Press Release Have a securities law question? Call […]

ubs
News

UBS Desperate to Keep Clients

According to an article in AdvisorHub, UBS Orders Fee Waivers, Loan Discounts on Reassigned Accounts, UBS is drastically waiving fees and commissions for accounts of brokers who have left the firm, in a desperate attempt to keep those clients, and their assets. The fee waiver is causing concern for brokers who […]