Search Results | Showing 1 - 10 of 14 results for "UBS Securities" |
| | ... troubled Link Funds Solutions business, which included Link Fund Solutions Limited; it appointed Macquarie Capital and UBS Securities as advisers. The UK Financial Conduct Authority (FCA) approved a Dye & Durham takeover of Link, but this acquisition ... |
| | | ... Link Fund Solutions business, which includes Link Fund Solutions Limited, and has appointed Macquarie Capital and UBS Securities as advisers. As previously reported by Financial Standard, in September, Link announced that the UK Financial Conduct Authority ... |
| | | ... ensure that similar errors do not occur again." The markets disciplinary panel's last decision from November saw UBS Securities cop a $120,000 fine an infringement notice for transactions in relation to six on-market buy-backs conducted by UBS on ... |
| | | ... ASIC $150,000 for its legal and investigative costs. This week, the Markets Disciplinary Panel determined that UBS Securities breached the Market Integrity Rules for a series of trades on the ASX in 2017. It was ordered to pay a $120,000 fine. |
| | | ASIC's Markets Disciplinary Panel confirmed UBS Securities paid a $120,000 fine for breaching market integrity rules over a series of trades on the ASX in 2017. The Markets Disciplinary Panel issued the infringement notice for transactions in relation ... |
| | | ... looking forward to," Reynolds said. Prior to CFSGAM, Reynolds held portfolio management and equity analyst roles with UBS Securities Australia, Goldman Sachs JB Were and BT Funds Management. |
| | | UBS Securities paid $280,000 in penalties following two infringement notices issued by ASIC's Markets Disciplinary Panel. The first infringement notice pertained to UBS' PIN crossing system, in which orders are executed based on algorithms reflecting ... |
| | | UBS Securities Australia (UBS) has joined the mFund Settlement Service. The addition of UBS expands mFund's distribution network to 11 distributors, 10 issuers representing 75 funds and 22 fund managers and nine registrar service providers. "mFund is ... |
| | | ... that, he was with Macquarie Securities in Hong Kong as deputy head of small cap research. He has also worked for UBS Securities in Sydney as an analyst. The investment analyst holds a BA degree in economics and finance from RMIT University, a masters ... |
| | | UBS Securities Australia has paid a fine of $30,000 after a misplaced decimal point caused the price of a BetaShares ETF to fall by 99%. Markets Disciplinary Panel (MDP) issued an infringement notice for the breach of market integrity rules. On 16 December ... |
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