professionaladviser_logo

FOR SUSTAINABLE, PROFITABLE, CLIENT-FOCUSED ADVISER FIRMS

pin Sign in Join
pin
    • My account
    • Sign out
  • You are currently accessing Professional Adviser via your Enterprise account.

    If you already have an account please use the link below to sign in.

    If you have any problems with your access or would like to request an individual access account please contact our customer service team.

    Phone: +44 (0) 1858 438800

    Email: [email protected]

    • Sign in
logo
  • logo

    Search Professional Adviser

  • News
  • More

    Choose from below

    • Features
    • Opinion
    • Editor's View
    • People Moves
    • Market Movers
    • Feel Good Friday
    • Professional Adviser TV
  • Your Business
    • Recruitment
    • Platforms
    • MPS
    • Education
    • Technology
    • Paraplanning
    • Diversity
    • Succession planning
  • Your Profession
    • Pensions
    • Investment
    • Regulation
    • ESG
    • Protection
    • Estate planning
    • Tax planning
    • Retirement
  • Consumer Duty
  • Events
  • About

    Authors

    • Jen Frost
    • Jenna Brown
    • Sahar Nazir
    • Isabel Baxter

    Featured Content

    • Cost of Living
    • Partner Insight
    • InvestmentIQ
    • Equities Hub - in association with Capital Group
    • Multi-asset content hub

    Sister publications

    • BusinessGreen
    • COVER
    • Investment Week
    • Professional Pensions

    Incisive Media

    • Our company
    • Careers
  • Searchlogo

    Search Professional Adviser

    x
Join Sign in
 
    • My account
    • Sign out
  • You are currently accessing Professional Adviser via your Enterprise account.

    If you already have an account please use the link below to sign in.

    If you have any problems with your access or would like to request an individual access account please contact our customer service team.

    Phone: +44 (0) 1858 438800

    Email: [email protected]

    • Sign in
    • Sign in

UBS

Regulation

UBS facing FSA enforcement action over 'rogue trader'

The Financial Services Authority is to commence with enforcement action against UBS AG following an investigation into losses incurred by the investment banks as a result of alleged 'rogue trader' activity.

clock 03 February 2012 •

Regulation

UBS 'rogue' trader pleads not guilty to charges

The alleged rogue trader at the heart of a multi-billion pound fraud investigation has pleaded not guilty to two charges of false accounting and two of fraud.

clock 30 January 2012 •

Investment

How US managers weathered the storm

Charlotte Richards finds out how US managers have navigated a difficult period and assesses the impact the eurozone crisis has had on the market.

clock 12 January 2012 • 5 min read

Regulation

Fined UBS Wealth chief missed warning signs, says FSA

A former chief executive officer of UBS AG's wealth management unit who is challenging a £100,000 FSA fine was yesterday accused of failing to control the activities of his team, allowing them to make up to 50 unauthorised trades per day.

clock 05 January 2012 •

Regulation

Ex-UBS wealth manager banned and fined £150k for lack of integrity

The Financial Services Authority (FSA) has banned and fined a former client adviser at UBS AG £150,000 for failing to act with integrity.

clock 16 December 2011 •

Investment

Fund managers attack bankers' pay

Leading fund managers, including L&G and Jupiter, have stepped up their attack against huge pay rises at the UK's biggest banks.

clock 06 December 2011 •

Your profession

UBS executive takes FSA to court over £100k fine

A senior executive at UBS has challenged a fine from the Financial Services Authority (FSA) in a tribunal today.

clock 14 November 2011 •

ETFs

How etfs measure up to other investments

Under a barrage of regulatory and media scrutiny, the benefits offered by ETFs seem to have been forgotten. Clare Dickinson tries to separate facts from fiction and look at how ETFs compare to other investments

clock 28 October 2011 • 11 min read

ETFs

Weekly roundup: iShares lists low volatility ETFs; Stoxx ex-financials and banks indices

ETFM provides a roundup of some of this week's ETF and indexing news.

clock 21 October 2011 •

Economics / Markets

Round-up: Don't be soggy, Cameron tells UK

Dire data from households and its impact on retailers, strike action talks, heads roll at UBS, and advice from the PM to Britain to reject "can't do sogginess" for the drive of China. Our round-up up of the nationals.

clock 06 October 2011 •
678
  • Contact Us
  • Marketing Solutions
  • About Incisive Media
  • Privacy Settings
  • Careers
  • Terms & Conditions
  • Policies
FOLLOW US
Incisive Media

© Incisive Business Media Limited, Published by Incisive Business Media Limited, New London House, 172 Drury Lane, London WC2B 5QR. Registered in England and Wales with company registration number 09178013. Part of Arc network, www.arc-network.com

DIGITAL PUBLISHER OF THE YEAR
right wallpaper ad
Loading.gif?page type=listing page&tag=ubs