Search for: "UBS Investment Bank"
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27 Dec 2021, 7:12 am
Deutsche Bank Securities Inc. [read post]
2 Nov 2021, 8:49 am
KEY POINTS FOR TRADERS Banking licence or authorisation from the Central Bank may be required if a lender is conducting banking activities or “financial intermediation”. [read post]
20 Sep 2021, 12:35 pm
Did Investment Banks Wait Too Long to Take Action on Evergrande? [read post]
2 Sep 2021, 1:29 am
Other firms that have also turned their back on US expats include UBS, Merryl Lynch, Charles Shwab, Fidelity, Morgan Stanley, and, most recently, UK online investment platform Nutmeg, following its acquisition by JP Morgan. [read post]
20 Jul 2021, 6:17 am
An exchange-traded note (ETN) is a senior, unsecured, unsubordinated debt security issued by an underwriting bank. [read post]
9 Jun 2021, 6:00 am
A relationship was established over the next four years during which time, Kitchen provided investment advice, which resulted in a substantial financial windfall for the banker. [read post]
19 May 2021, 8:34 am
Investing with a Big Bank Does Not Provide Protection Against Broker or Advisor Fraud Wells Fargo, UBS, Morgan Stanley, Santander—these are some of the biggest and most well-known financial institutions in the world. [read post]
18 May 2021, 9:00 am
Internal Revenue Service (IRS) insurance policies and related policy investment accounts in banks around the world. [read post]
15 May 2021, 3:58 am
We discuss: Eduardo’s background in finance and investment banking with UBS and Credit Suisse. [read post]
21 Apr 2021, 7:06 am
Swiss banking giant UBS began to do this in April 2009. [read post]
19 Apr 2021, 1:03 pm
According to Blizzard’s FINRA BrokerCheck profile, he began working in the securities industry in 2001, first with UBS, and then with M&T Securities from 2003 to 2014. [read post]
2 Apr 2021, 1:29 pm
Hedge funds like Archegos and their bankers hide how they invest and make transactions, and this strategy obviously can cause harm to the wider investing public. [read post]
25 Mar 2021, 9:15 am
She allegedly stole the funds and directed them into bank accounts controlled by her father, her brother, and two others. [read post]
23 Mar 2021, 6:27 am
Raghavendra Rau is Sir Evelyn de Rothschild Professor of Finance at the University of Cambridge; Jason Sandvik is Assistant Professor of Finance at Tulane University; and Theo Vermaelen is UBS Professor of Investment Banking at INSEAD. [read post]
12 Mar 2021, 9:57 am
Dante posed questions to Inman and Gonzalez about recent amendments to the Bank Secrecy Act that provide new options for whistleblowers reporting anti-money laundering violations. [read post]
11 Mar 2021, 7:00 am
In Bain v UBS (2018), the Ontario Court of Appeal confirmed that an investment banker was entitled to, in addition to other significant wrongful dismissal damages, $87,472 in vacation pay because UBS had not based Bain’s vacation pay on his overall compensation, including bonus, as it ought to have. [read post]
11 Mar 2021, 7:00 am
In Bain v UBS (2018), the Ontario Court of Appeal confirmed that an investment banker was entitled to, in addition to other significant wrongful dismissal damages, $87,472 in vacation pay because UBS had not based Bain’s vacation pay on his overall compensation, including bonus, as it ought to have. [read post]
3 Mar 2021, 6:16 pm
"The Swiss NCP comes to the conclusion that a business relationship according to the OECD Guidelines between UBS and Hikvision and a direct link between UBS’s products and services and the alleged human rights violations could not be excluded with regard to the UBS fund sold by UBS. [read post]
15 Dec 2020, 12:15 pm
The convicted banking group includes Deutsche Bank Securities, DB Group Services UK, DB Structured Products, Deutsche Asset Management, Deutsche Investment Management Americas, Deutsche Bank Trust Co. [read post]
20 Nov 2020, 5:00 am
UBS AG (2014) alleged that UBS AG violated Item 105 by failing to disclose that the bank was engaged in tax evasion, while disclosing that it was being investigated by the DOJ. [read post]
