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Vice President, Sales APAC, Orc

Orc Expands its Broker Connectivity Reach

Vice President, Sales APAC, OrcOrc, a leading provider of technology and services for the global financial industry, today announced that UBS Securities (UBS) has extended its usage of the Orc Access solutions to meet increasing global demand for high-performance and robust access on APAC >>

Citi and UBS to Provide Post-Trade Solution to Broker-Dealers in Asia

Citi and UBS to Provide Post-Trade Solution to Broker-Dealers in Asia

David Russell, Regional Head, Asia, Citi Transaction ServicesCiti, a leading global bank with operations in more than 100 countries worldwide, and UBS, a leading provider of wealth management, investment banking and asset management services, have announced a combined service offering that provides >>

Administrative Actions against UBS Securities Japan

The Securities and Exchange Surveillance Commission (SESC) conducted an inspection on UBS Securities Japan Ltd (hereinafter referred to as the “Company”), and found a violation of the Financial Instruments and Exchange Act (hereinafter referred to as the “FIEA”). On December 9, 2011, the >>

Japan FSA Recommends for Administrative Action Against UBS

Contents of the Recommendation Pursuant to Article 20, paragraph 1 of the Act for Establishment of the Financial Services Agency (FSA), today, on December 9, 2011, the Securities and Exchange Surveillance Commission issued a recommendation that the Prime Minister and the Commissioner of the FSA >>

UBS Joins Chi-X Global Ownership Consortium

UBS AG has acquired an equity stake in Chi-X Global Holdings LLC and will join the consortium of five financial institutions that recently bought a minority stake in the firm, Chi-X Global announced December 5. The group that UBS joins comprises BofA Merrill Lynch, GETCO LLC, Goldman Sachs, >>

UBS to Clear OTC Traded Financials on Singapore Exchange

Singapore Exchange (SGX) welcomes UBS AG to AsiaClear as a new SGX Bank Clearing Member for the clearing of over-the-counter (OTC) traded financial derivatives. Mr Muthukrishnan Ramaswami, President of Singapore Exchange, said, “We look forward to UBS’ participation in our clearing service >>

Thailand SEC Files Complaint Against Former UBS Securities Executive

The SEC has filed a criminal complaint with the Department of Special Investigation against Numkrit Jeraputtiruk, former executive of UBS Securities (Thailand) Limited (UBS), for taking unlawful gains for himself or others at the expense of UBS’s clients. The complaint also alleged six other >>

HK SFC Reprimands and Fines Three UBS Employees $1.8 million

The Securities and Futures Commission (SFC) has publicly reprimanded Mr Frank Hu, Ms Peony Ng and Ms Jenny Chang Pui Chun of UBS AG Hong Kong (UBS) and fined them $800,000, $600,000 and $400,000 respectively, for negligence in handling a client’s trade orders (Note 1). An SFC investigation >>