瑞银集团的争议事件

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• 退款或补偿 — UBS

  The bank has offered to compensate the clients affected.

• 整改 — UBS

  UBS has taken remedial actions to strengthen its internal controls and systems upon identifying the breaches, and cooperated with the SFC in resolving the issues, said the SFC.

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• The Hong Kong Securities and Futures Commission (SFC) has fined UBS and UBS Securities Asia HK$9.8m (£900,000, $1.26m €1.06m) and HK$1.75m, respectively.

• This was for failing to disclose financial interests in some Hong Kong-listed companies covered in research reports between 2004 and 2018.

• The SFC considers that the bank failed to act with due skill and care and put in place adequate systems and controls to ensure compliance with the applicable regulatory requirements,

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• The Securities and Exchange Commission (SEC) filed a settled action against UBS Financial Services for compliance failures relating to the sale of a volatility-linked exchange-traded product (ETP).

• Without admitting or denying the SEC’s findings, UBS agreed to a censure and to pay disgorgement and prejudgment interest of $112,274 plus a civil penalty of $8m (£5.9m, €6.8m), which will be distributed to affected investors.

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• 否认 — UBS

  UBS has denied negligence and breaching its duty of care to Rope.

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• A UBS trader sued his employer over allegations the “toxic” London work environment and “punishing workload” caused his mental health to deteriorate so far he was no longer able to work.

• UBS has denied negligence and breaching its duty of care to Rope.

• An exceptionally large number of companies for such a small team to cover,” they said in documents filed at the High Court in February.

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• UBS Financial Services has agreed to pay more than $10 million to resolve charges that it circumvented the priority given to retail investors in certain municipal bond offerings, the Securities and Exchange Commission announced Monday.

• The SEC’s order, between August 2012 and June 2016, “UBS violated retail order period restrictions in new issue municipal bond offerings it distributed by allocating bonds intended for retail customers to certain customers that were known in the bond industry as ‘flippers.’ The flippers obtained allocations of negotiated new issue bonds from UBS and then immediately resold or ‘flipped’ the bonds to other broker-dealers at a profit.”

• The regulator revealed that UBS Financial Services “circumvented” the priority given to retail investors when it comes to certain types of municipal bond offerings.

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• 退款或补偿 — UBS

  UBS will also compensate all affected clients managed by UBS’ Singapore branch during the period of 2008 to 2017 as part of the penalty settlement.

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• UBS admitted liability for its client advisors’ actions and has paid the civil penalty, the financial authority said in a press release.

• Singapore has fined Swiss banking giant UBS S$11.2 million (US$8 million) after investigations showed its advisors deceived clients about prices for bonds and other financial products.

• The Monetary Authority of Singapore (MAS) imposed a $11.2m fine on UBS after its client advisors’ deceived customers on the prices of transactions for over-the-counter (OTC) bonds and structured products.

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• 退款或补偿 — UBS

  UBS has also agreed to repay the clients HK$200 million, the SFC said.

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• In the statement, the SFC said UBS was also found to have falsified some account statements which were issued to financial intermediaries who were authorized to trade for the clients to “conceal the overcharges.”

• HONG KONG: Swiss bank UBS was fined HK$400 million ($51.09 million) by Hong Kong’s securities regulator for overcharging up to 5,000 clients for nearly a decade, the watchdog said on Monday.

• Among problems discovered were that advisors failed to disclose — or made only partial disclosure — of price changes and overcharged clients, the bank said.