02/10/2014

Indian-American hedge fund boss in Bharara’s net

The verdict against Martoma followed a four-week trial and 15 hours of deliberation by the jury and has left Martoma facing a maximum of 20 years in prison on two counts of securities fraud and a conspiracy charge, although his final sentence may be close

02/10/2014

MAS-SGX Measures: More Can Be Done

The moves proposed by the Monetary Authority of Singapore and the Singapore Exchange on Friday targeting speculative trading in penny stocks are welcome since all are aimed at improving the quality of listings, transparency and levelling the playing field

02/10/2014

UBS Suspends Bankers In China Hiring Investigation

UBS AG has suspended two executives, including its top IPO banker in Asia, in an internal probe into the hiring of an employee related to the head of a Chinese listing hopeful, according to people familiar with the matter.

02/07/2014

Former Amex exec gets Hong Kong life ban

Lo Hoi Luen has been banned for life from re-entering the industry by the city's securities regulator, after forging a client’s signature for a product purchase.

02/06/2014

UBS probed for tax evasion

UBS, the largest Swiss bank, is suspected of stashing away proceeds worth about 50 billion won

01/29/2014

BNP Paribas enters EU with ASIC

BNP Paribas has entered into an enforceable undertaking with the Australian Securities and Investments Commission in relation to potential misconduct involving the Australian Bank Bill Swap Rate.