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Institutional FX

UBS to Shell Out $1.4B over Fraud Claims Related to 2008 Financial Crisis

  • The Swiss bank giant did not admit to any wrongdoing.
  • The DOJ previously settled with other top banks, such as Nomura, RBS and Barclays.
Monday, 14/08/2023 | 20:59 GMT by Solomon Oladipupo
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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