Cboe, Cboe fine, CFE, UBS Securities
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UBS Securities LLC has submitted Letter of Consent for the purpose of proposing a settlement of alleged rule violations.
featured, FINRA, UBS Securities
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From September 2015 through January 2019, UBS-S published inaccurate monthly statistics regarding execution of covered orders.
Sandeep Jain, UBS Securities
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Former Managing Director, Global Head of Rates Quantitative Analytics at UBS Securities gets suspended for sharing confidential information.
HFT, high frequency trading, market manipulation, UBS, UBS Securities
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UBS Securities insists that the plaintiffs’ demands mean that it would have to produce overbroad trade data associated with other non-parties to the case.
Cboe Futures Exchange, UBS fine, UBS Securities
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UBS did not maintain and could not provide to CFE the audit trail data requested by the Exchange.
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