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The Swiss banking giant has settled with a Hong Kong regulator over charges of regulatory breaches.
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined two UBS Group subsidiaries, UBS AG, and UBS Securities Asia Ltd., HK$9.8 million and HK$1.75 million, respectively, for alleged “regulatory breaches.” The total fine of HK$11.55 million is approximately $1.5 million in U.S. currency. The SFC is a financial regulator that oversees brokers, investment advisers...
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