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8-K filings in December 2023, explained

27 material Form 8-K filings that 27 companies we cover made with the SEC in December 2023, each read and summarized by AI: what happened, the key figures, whether it reads positive or negative for shareholders, and how big a deal it is (impact 1-5). All of them were written later, when past filings were added: a selection, not every 8-K of the month (see the note below).

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DHYUBS ASSET MANAGEMENT HIGH YIELD CREDIT FUND Dec 13, 5:08 PM ET

UBS High Yield Fund (DHY): SEC orders Credit Suisse to pay $10,080,220 over adviser violation

Mixed legal/regulatory Written later 8.01

The SEC issued a cease-and-desist order against Credit Suisse and affiliates, which consented without admitting or denying findings. The SEC said Credit Suisse acted as the fund's investment adviser in violation of Section 9(a) of the Investment Company Act of 1940 from October 24, 2022 to June 7, 2023, and the firms agreed to pay $10,080,220 in disgorgement, interest and civil penalties.

SEC order dated December 13, 2023; Credit Suisse and affiliates censured and agreed to cease and desist
Alleged violation period: October 24, 2022 to June 7, 2023
Total payment of disgorgement, prejudgment interest and civil penalties: $10,080,220
Fund services continue under a time-limited exemption through June 12, 2024, when they are expected to move to UBS advisers

Read the filing on SEC.gov ↗

Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.

Briefs marked “Written later” were written in November 2026 for filings that were by then more than three weeks old, so months before mid-October 2026 hold a selection: every material 8-K of the past year for the 100 largest companies we cover and the last 15 important 8-Ks of every other one. Briefs the number check holds back are not shown or counted. Also: the last 45 days, briefs by company, A–Z and the live SEC filings wire.