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Ubs ag
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Institutional FX
UBS to Shell Out $1.4B over Fraud Claims Related to 2008 Financial Crisis
2023-08-14T22:59:28.002+02:00
The Swiss bank giant did not admit to any wrongdoing.
The DOJ previously settled with other top banks, such as Nomura, RBS and Barclays.
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Institutional FX
FINRA Slams $475K Fine on UBS Securities—Second in 4 Months
2023-02-06T18:41:08.492+02:00
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.
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Institutional FX
FINRA Penalizes UBS Securities $2.5M for 73,000 ‘Naked’ Short Sales
2022-10-05T12:58:59.232+02:00
The violations occurred between 2009 and 2018.
The US SEC recently fined UBS Securities $125 million alongside 14 other broker-dealers.
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Solomon Oladipupo
Institutional FX
Aquis Exchange Launches EU-Wide Dark Trading Venue
2022-09-05T18:35:34.527+02:00
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.
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Executive Moves
Diginex Hires Ex-UBS Executive Chi-Won Yoon as Asian Chair
2020-04-02T09:54:05.000+02:00
Yoon brings three decades of experience in the company and will be based in Hong Kong.
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Arnab Shome
Regulation
FCA Fines UBS AG £27.6m for Transaction Reporting Failures
2019-03-19T16:50:39.000+02:00
The Swiss firm was able to get a 30 percent reduction on the fine by agreeing to resolve the case with the regulator
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David Kimberley
Regulation
UBS Fined €3.7 Billion by French Authorities for Tax Evasion
2019-02-20T19:20:31.000+02:00
The Swiss investment bank rejected a prior settlement offer from French authorities
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David Kimberley
Execution
UBS Sees Uptick in Q4 Profit, But Falls Below Expectations
2019-01-22T10:57:06.000+02:00
This shortfall was largely thanks to its wealth management division and weaker investment bank earnings.
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Celeste Skinner
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Regulation
China Approves UBS to Control Its Securities Joint Venture
2018-11-30T19:52:09.000+02:00
UBS filed application to raise the stake in its China venture to 51 percent, up from the current 25 percent.
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Aziz Abdel-Qader
Execution
UBS to Reopen Headquarters after 3 Years of Renovations
2018-11-30T15:33:02.000+02:00
The concept for the new layout was developed by the general planner team at EM2N Architekten AG.
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Celeste Skinner
Executive Moves
UBS Adds Imene Moussa as an Executive Director
2018-11-20T14:57:42.000+02:00
Moussa will be responsible for developing and executing quantitative investment strategies at UBS.
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Celeste Skinner
Regulation
UBS Pays $120,000 for "Careless" Conduct on the ASX
2018-11-20T08:55:53.000+02:00
Traders at UBS bought around 18 million securities in ways other than by the matching of an order book.
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Celeste Skinner
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Executive Moves
UBS Appoints Two Co-Presidents to Head Up Investment Bank
2018-09-26T10:50:58.000+02:00
Piero Novelli and Robert Karofsky will take up their new roles following Andrea Orcel's departure
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Regulation
Former UBS Trader Who Committed UK’s Biggest Fraud Faces Deportation
2018-09-04T10:16:35.000+02:00
Kweku Adoboli was detained on Monday, a prelude to being deported to Ghana.
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Execution
UBS Beats Expectations in Q2, Driven by Investment Bank
2018-07-24T10:55:36.000+02:00
In the second quarter, UBS reported a 12 percent rise in pre-tax profits, driven by the Group’s investment bank.
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Celeste Skinner
Executive Moves
UBS Adds Hayden Briscoe to Lead its APAC Fixed Income Unit
2016-07-26T14:47:19.000+02:00
The former AllianceBernstein specialist has landed at UBS, helping steer the lender's APAC fixed income team.
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Jeff Patterson
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Prime Brokerage
Two Former Deutsche Bank Employees Indicted on LIBOR Fraud Charges
2016-06-02T19:01:45.000+02:00
The supervisor of the Pool Trading Desk in NY and a derivatives trader in London have been indicted for LIBOR manipulation.
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Prime Brokerage
Exclusive: UBS’ Director of FX Options, Louis McCauley Parts Ways with Bank
2015-11-18T17:08:29.000+02:00
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.
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Regulation
UBS to Pay $19.5 Million Over Hedging Own FX Index
2015-10-13T21:50:34.000+02:00
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.
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Avi Mizrahi
Executive Moves
UBS Wealth Management Hires Top Morgan Stanley Brokers
2015-08-18T07:37:18.000+02:00
A father and son duo has parted with Morgan Stanley after generating over $1.6 million in revenues for the bank
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Victor Golovtchenko
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Regulation
Five Major Banks Approach Guilty Plea Settlement with US Regulator
2015-05-11T21:07:22.000+02:00
The US Department of Justice is nearing a settlement with upwards of five leading banks following allegations of FX manipulation.
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Executive Moves
UBS AG Shakes Up Equities Division, Naming Two Co-Heads
2015-04-09T04:00:35.000+02:00
Chris Leone and Dushyant Chadha appointed as newest co-heads of equities – Americas.
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