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Institutional FX

FINRA Slams $475K Fine on UBS Securities—Second in 4 Months

UBS released 41 reports between 2015 and 2019 allegedly containing inaccurate details.
The broker-dealer has agreed to settle without admitting or denying FINRA's findings.

Monday, 06/02/2023 | 16:41 GMT by Solomon Oladipupo

Institutional FX

FINRA Penalizes UBS Securities $2.5M for 73,000 ‘Naked’ Short Sales

The violations occurred between 2009 and 2018.
The US SEC recently fined UBS Securities $125 million alongside 14 other broker-dealers.

Wednesday, 05/10/2022 | 10:58 GMT by Solomon Oladipupo

Institutional FX

Aquis Exchange Launches EU-Wide Dark Trading Venue

The exchange previously offered dark trading services only in the UK.
Aquis Exchange took charge of UBS MTF's dark pool business earlier in April.

Monday, 05/09/2022 | 16:35 GMT by Solomon Oladipupo

Executive Moves

Diginex Hires Ex-UBS Executive Chi-Won Yoon as Asian Chair

Yoon brings three decades of experience in the company and will be based in Hong Kong.

Thursday, 02/04/2020 | 07:54 GMT by Arnab Shome

Regulation

FCA Fines UBS AG £27.6m for Transaction Reporting Failures

The Swiss firm was able to get a 30 percent reduction on the fine by agreeing to resolve the case with the regulator

Tuesday, 19/03/2019 | 14:50 GMT by David Kimberley

Regulation

UBS Fined €3.7 Billion by French Authorities for Tax Evasion

The Swiss investment bank rejected a prior settlement offer from French authorities

Wednesday, 20/02/2019 | 17:20 GMT by David Kimberley

Execution

UBS Sees Uptick in Q4 Profit, But Falls Below Expectations

This shortfall was largely thanks to its wealth management division and weaker investment bank earnings.

Tuesday, 22/01/2019 | 08:57 GMT by Celeste Skinner

Regulation

China Approves UBS to Control Its Securities Joint Venture

UBS filed application to raise the stake in its China venture to 51 percent, up from the current 25 percent.

Friday, 30/11/2018 | 17:52 GMT by Aziz Abdel-Qader

Execution

UBS to Reopen Headquarters after 3 Years of Renovations

The concept for the new layout was developed by the general planner team at EM2N Architekten AG.

Friday, 30/11/2018 | 13:33 GMT by Celeste Skinner

Executive Moves

UBS Adds Imene Moussa as an Executive Director

Moussa will be responsible for developing and executing quantitative investment strategies at UBS.

Tuesday, 20/11/2018 | 12:57 GMT by Celeste Skinner

Regulation

UBS Pays $120,000 for "Careless" Conduct on the ASX

Traders at UBS bought around 18 million securities in ways other than by the matching of an order book.

Tuesday, 20/11/2018 | 06:55 GMT by Celeste Skinner

Executive Moves

UBS Appoints Two Co-Presidents to Head Up Investment Bank

Piero Novelli and Robert Karofsky will take up their new roles following Andrea Orcel's departure

Wednesday, 26/09/2018 | 08:50 GMT by David Kimberley

Regulation

Former UBS Trader Who Committed UK’s Biggest Fraud Faces Deportation

Kweku Adoboli was detained on Monday, a prelude to being deported to Ghana.

Tuesday, 04/09/2018 | 08:16 GMT by Celeste Skinner

Execution

UBS Beats Expectations in Q2, Driven by Investment Bank

In the second quarter, UBS reported a 12 percent rise in pre-tax profits, driven by the Group’s investment bank.

Tuesday, 24/07/2018 | 08:55 GMT by Celeste Skinner

Executive Moves

UBS Adds Hayden Briscoe to Lead its APAC Fixed Income Unit

The former AllianceBernstein specialist has landed at UBS, helping steer the lender's APAC fixed income team.

Tuesday, 26/07/2016 | 12:47 GMT by Jeff Patterson

Prime Brokerage

Two Former Deutsche Bank Employees Indicted on LIBOR Fraud Charges

The supervisor of the Pool Trading Desk in NY and a derivatives trader in London have been indicted for LIBOR manipulation.

Thursday, 02/06/2016 | 17:01 GMT by Victor Golovtchenko

Prime Brokerage

Exclusive: UBS’ Director of FX Options, Louis McCauley Parts Ways with Bank

Mr. McCauley has parted ways with the lender to relocate from Zurich, taking up a new role as Portfolio Manager at a NYC Hedge Fund.

Wednesday, 18/11/2015 | 15:08 GMT by Jeff Patterson

Regulation

UBS to Pay $19.5 Million Over Hedging Own FX Index

SEC: UBS employees were engaging in practices that had or could have had a negative impact on the price inputs used to calculate the V10 index.

Tuesday, 13/10/2015 | 19:50 GMT by Avi Mizrahi

Executive Moves

UBS Wealth Management Hires Top Morgan Stanley Brokers

A father and son duo has parted with Morgan Stanley after generating over $1.6 million in revenues for the bank

Tuesday, 18/08/2015 | 05:37 GMT by Victor Golovtchenko

Regulation

Five Major Banks Approach Guilty Plea Settlement with US Regulator

The US Department of Justice is nearing a settlement with upwards of five leading banks following allegations of FX manipulation.

Monday, 11/05/2015 | 19:07 GMT by Jeff Patterson

Executive Moves

UBS AG Shakes Up Equities Division, Naming Two Co-Heads

Chris Leone and Dushyant Chadha appointed as newest co-heads of equities – Americas.

Thursday, 09/04/2015 | 02:00 GMT by Jeff Patterson

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