January 31, 2013, Thursday

Sebi settles case against Suzlon through consent

Market regulator Securities and Exchange Board of India (Sebi) has disposed a case against Suzlon Energy and its officials, ...

May 31, 2012, Thursday

Wealthy clients turned tables on UBS and staff?

A close reading of the UK Upper Tribunal’s recent decision on an appeal by a former UBS employee reveals the possibility of ...

May 30, 2012, Wednesday

'Customer Q' used by UBS staff to skip Indian FII laws

After Mr X, comes Customer Q. A customer account of the UK’s UBS Wealth Management codenamed ‘Q’ played a ...

May 29, 2012, Tuesday

X factor emerges in FSA case against ex-UBS employee

A mysterious Mr X has surfaced in the UK Financial Services Authority’s (FSA’s) case against former UBS employee ...

May 22, 2012, Tuesday

Ex-UBS trader fined $2 mn for illegal trading

The former head of a trading desk at UBS AG’s wealth-management unit in London must pay 1.25 million pounds ($2 million) ...

May 21, 2012, Monday

UK regulator decision to fine NRI financial advisers upheld

A British tribunal has asked financial sector regulator FSA to ban and penalise two Indian-origin advisers, who worked with Swiss ...