UBS to pay $8M to settle SEC charges related to ETP investments
The SEC today filed a settled action against UBS for compliance failures relating to sales of a volatility linked ETP.
The SEC today filed a settled action against UBS for compliance failures relating to sales of a volatility linked ETP.
UBS Execution Hub is Swiss bank UBS’s cross-product outsourced execution platform for asset managers and hedge funds.
The Securities and Futures Appeals Tribunal allowed the application for a ban review by former UBS AG executive Cai Hongping.
Mike Dargan will join the UBS Executive Board as Chief Digital and Information Officer (CDIO) effective 1 May 2021.
UBS shareholders approved all proposals of the Board of Directors at the Annual General Meeting (AGM).
UBS Group AG has completed its three-year share repurchase program, launched on March 26, 2018.
In June 2019, Walid Choucair wa.s sentenced to three years’ imprisonment in respect of five offences of insider dealing.
Beatrice Weder di Mauro will not be standing for re-election at the forthcoming AGM after serving on the UBS Board for nine years.
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.
UBS launches UBS Next, a $200 million strong portfolio that targets investments in the fintech and broader tech ecosystem.