Tag: UBS
Singapore regulator slams UBS with $11.2m fine for “unacceptable” deceptive behaviour
UBS has landed it legal hot waters in Singapore after its employees overcharged and failed to be transparent to clients.
UBS fined $51m by Hong Kong regulator for overcharging
Swiss multinational investment bank UBS has reportedly been fined HKD $400M ($51m) by Hong Kong’s securities regulator for overcharging around 5,000 clients.
What are financial institutions looking for in RegTech
RegTechs cannot succeed if they only offer technology and no content to supplement it, according to Maria Leistner group managing director and general counsel global wealth management at UBS.
Kaizen Reporting expands to cover MiFIR trade reporting
RegTech 100 company Kaizen Reporting has expanded its assurance solution ReportShield to cover MiFIR trade reporting.
Banks adopt Droit’s MiFID II trade compliance engine
Six major global banks have adopted Droit Financial Technologies’ fully-digitized MiFID II trade compliance engine.
Visible Alpha lands investment from HSBC
Visible Alpha, a startup helping analysts and fund managers cope with regulatory changes, has landed further investment from HSBC.
Banks prepare for MiFID II with Ethereum smart contracts
With MiFID II set to come into force in just a few days, UBS has initiated a project to use Ethereum smart contracts for compliance.
Four major banks partner to push blockchain transactions
Four of the world’s largest banks are partnering to develop a digital currency with the aim of creating an industry standard for blockchain-enabled trades and transactions.
