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SEC charges VP in risk management with insider trading

SEC Building

The Securities and Exchange Commission has charged a vice president in the risk management department of a New York-based investment bank with insider trading on confidential information he learned in advance of a private equity firm’s acquisition of a publicly-traded technology company.




UBS to face whistleblower lawsuit

A U.S. judge has ordered UBS to face a lawsuit by a former bond strategist who said he was fired in retaliation for refusing to publish misleading research reports and complaining about being pressured to do so.