UBS MTF lists more than 50 stocks suspended by MiFID II DVCs
Bans will be implemented over a six month period, effective from 13 April, but capped instruments remain available for trading under LIS waiver.
Tag: UBS
UBS fined $4.5 million for record keeping failures
Hong Kong financial watchdog fines UBS after it failed to produce transaction and client consent records.
Citi taps UBS for ETFs credit trading head in Europe
Melvyn Merran has been appointed head of credit trading for ETFs as Citi continues its drive into the ETF space.
UBS warns of MiFID II’s impact on profits
Swiss investment bank’s annual report outlines potential revenue impacts of MiFID II unbundling and changes to OTC derivatives trading.
Deutsche Bank, UBS and HSBC incur $46 million penalty for spoofing
Three major investment banks allegedly carried out various frauds and spoofing on precious metals futures contracts.
Citadel Securities hires UBS equity regulation expert for compliance role
The market maker recruited Marc Harold as deputy chief compliance officer, one month after it hired a former SEC director in May.
Deutsche Bank’s global securities lending head joins UBS
One of Deutsche Bank’s top securities lending traders left in May to join UBS.
Ex-UBS compliance boss to appear in court for insider dealing
Former compliance officer at UBS worked at the investment bank for more than a decade.
UBS fined $280k for system failures
Deficiencies were seen on UBS’ price improvement network and Opera trading systems.
JP Morgan nabs FX market share from Citi and UBS
Ranking of top FX dealers reveals a significant redistribution of market share this year.