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2 Apr 2012, 11:56 am
As the legal memo at “Customer Identification At UBS AG And Some Other Banks” explains, bank customers in Switzerland execute a “declaration of beneficial ownership” to identify themselves when opening financial accounts. [read post]
24 Mar 2012, 8:51 pm
Per the court, the plaintiffs, who sued Mecox, its leading officials, and underwriters Credit Suisse Securities (USA) LLC and UBS AG (UBS), failed to adequately allege any materially false or misleading statements in the registration statement or prospectus for the 2010 IPO. [read post]
9 Mar 2012, 11:55 am
Financial professionals and brokerage firms have a duty to recommend only investments that are appropriate for the client in light of the client’s age, investment experience, net worth, and investment objectives. [read post]
9 Mar 2012, 11:34 am
Did your financial advisor bet big on the Dow Jones-UBS Natural Gas Total Return ETN? [read post]
27 Feb 2012, 5:18 am
• The Second Circuit is scheduled to hear oral arguments at 10 a.m. in a lawsuit brought against UBS AG for allegedly aiding and abetting terrorists who carried out bombings in Israel. [read post]
26 Feb 2012, 5:12 am
PriceWaterhouseCoopers Blackstone Group (Private equity firm) Bain Capital Wells Fargo UBS AG EMC Corp. [read post]
26 Feb 2012, 4:48 am
PriceWaterhouseCoopers Blackstone Group (Private equity firm) Bain Capital Wells Fargo UBS AG EMC Corp. [read post]
26 Feb 2012, 4:27 am
PriceWaterhouseCoopers Blackstone Group (Private equity firm) Bain Capital Wells Fargo UBS AG EMC Corp. [read post]
21 Feb 2012, 10:33 pm
According to UBS’s disclosure, HSBC Holdings Plc, Royal Bank of Scotland Group Plc, Deutsche Bank AG, JPMorgan, Citigroup, ICAP Plc, and RP Martin Holdings Ltd were all part of the scheme. [read post]
15 Feb 2012, 2:40 pm
’s and UBS AG’s Japanese branches (see: Administrative Actions against UBS Securities Japan Ltd. and UBS AG, Japan Branches). [read post]
13 Feb 2012, 3:40 pm
’s and UBS AG’s Japanese branches (see: Administrative Actions against UBS Securities Japan Ltd. and UBS AG, Japan Branches). [read post]
10 Feb 2012, 2:55 am
--"domestic reporting and reciprocal automatic exchange"-- is a good step towards global reporting of accounts to home countries, a necessary move to combat the potential for tax avoidance in the age of electronic finance. [read post]
6 Feb 2012, 8:40 am
As “Customer Identification At UBS AG And Some Other Banks” indicates, Swiss banks detect the true beneficial owners of bank accounts by requiring bank customers to execute Form A’s. [read post]
3 Feb 2012, 2:27 am
Gemäss heutiger Medienmitteilung hat die FINMA gegen die UBS AG ein formelles Enforcementverfahren im Zusammenhang mit den Handelsverlusten bei ihrer Investement Bank in London eröffnet. [read post]
1 Feb 2012, 7:58 am
Over the last few years, at least 40 US clients of various offshore banks including UBS and Credit Suisse Group AG, Switzerland’s two biggest banks, London-based HSBC Holding Plc, Europe’s biggest bank and other banks have been charged by the IRS on tax evasion-related charges. [read post]
28 Jan 2012, 3:07 pm
She commenced employment with the employer at age 20. [read post]
26 Jan 2012, 9:29 am
According to the pleadings, the three advisers worked for the Zurich branch of “Swiss Bank A,” which began actively recruiting U.S. customers in 2008 after another bank, UBS AG, lost U.S. accounts due to an IRS investigation and eventual litigation. [read post]
24 Jan 2012, 7:16 am
Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS AG and Wells Fargo & Co. have also lost market share by terminating lower producing brokers. [read post]
22 Jan 2012, 3:53 pm
Reducing mortgage balances is a risky idea that hasn’t been shown to keep borrowers who owe more than their property’s worth in their homes, according to Credit Suisse Group AG. [read post]
20 Jan 2012, 6:34 am
We are pleased to provide this global competition update, with a focus on Asia Pacific, from our friends at Rajah Tann in Singapore. ____________________ Happy New Year! [read post]
