Search Results for: UBS Securities
UBS Securities pays penalties
June 15th, 2017
UBS Securities pays $280,000 in infringement notice penalties UBS Securities Australia Limited (‘UBS’) has paid penalties totalling $280,000 to comply with two infringement notices given to it by the Markets Disciplinary Panel (‘the MDP’). The first infringement notice ($140,000) ...
UBS Securities automates risk and surveillance with Eventus
March 17th, 2016
Eventus Systems, a US-based provider of data processing and analysis solutions, has signed UBS Securities for its flagship Validus risk and surveillance platform. Mark Holder, global co-head of electronic trading at UBS, says Eventus and Validus offered “impressive capabilities ...
J.P. Morgan Securities admits to manipulative trading in U.S. Treasuries
September 30th, 2020
The Securities and Exchange Commission announced charges against J.P. Morgan Securities LLC, a broker-dealer subsidiary of JPMorgan Chase & Co., for fraudulently engaging in manipulative trading of U.S. Treasury securities. J.P. Morgan Securities admitted the findings in the SEC’s ...
The European Securities and Markets Authority says market risk remains high but stable
May 16th, 2019
The European Securities and Markets Authority (ESMA) published its latest risk dashboard for the European Union’s securities markets, covering the first quarter of 2019. It finds that the risk landscape in Q1 2019 remains largely unchanged compared to the ...
Cayman Islands plans to broaden regulatory regime for securities and investments
May 8th, 2019
The Cayman Islands plans to broaden the territory’s regulatory regime for securities and investments. The territory launched a consultation on The Securities Investment Business (Amendment) Bill, 2019 on April 16, and parliament will discuss the bill at its next ...
The European Securities and Markets Authority released advice on Crypto assets
January 9th, 2019
The European Securities and Markets Authority (ESMA) today publishes its Advice (Advice) to the European Union (EU) Institutions – Commission, Council and Parliament – on initial coin offerings and crypto-assets. The Advice clarifies the existing EU rules applicable to ...
US Securities and Exchange Commission halts trading in two cryptocurrency products
September 10th, 2018
The U.S. Securities and Exchange Commission (SEC) said on Sunday it was immediately suspending trading in two investment products that track cryptocurrencies, citing confusion in the markets over whether the products are exchange-traded funds (ETFs). In accordance the SEC’s ...
Deutsche Bank subsidiaries will pay nearly $75 million to settle charges
July 23rd, 2018
The Securities and Exchange Commission (SEC) announced that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). The case stems from a continuing SEC investigation ...
Deutsche Bank and its UK subsidiary to pay $775 million penalty
March 29th, 2017
DB Group Services (UK) Limited (DBGS), a wholly owned subsidiary of Deutsche Bank AG (Deutsche Bank), was sentenced today for its role in manipulating London Interbank Offered Rates (LIBOR) for U.S. Dollar and several other currencies. LIBOR is a ...
The Securities and Futures Commission bans former employee of HSBC for life
February 13th, 2017
The Securities and Futures Commission (SFC) has banned Ms Li Lee, a former employee of The Hongkong and Shanghai Banking Corporation Limited (HSBC), from re-entering the industry for life following her criminal convictions (Note 1). The District Court earlier ...
