The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled ...

The Financial Industry Regulatory Authority issued fines against four large banks to end 2024, all for different alleged misconduct, but all related to the firms' failures to implement a supervisory ...

Those investing in AI stocks need to be 'more nimble' in 2025 amid rising regulations, potential product transitions and ...

Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.

UBS analyst David Vogt says that following another month of soft iPhone sell-through, the firm lowered its iPhone unit and ...

Global financial services firm UBS in a report dated January 2 answered key questions that matter for the AI rally in the New Year, while continuing to maintain its bullish stance on the AI theme.