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Hong Kong regulator fines UBS unit over failure to maintain trading records

Hong Kong's securities regulator fined UBS Securities Asia Ltd. HK$4.5 million for its failure to record client facilitation trades and client consents.

The Securities and Futures Commission said the UBS Group AG unit failed to put in place controls to record transactions and client consents in relation to facilitating trading activities. The regulator noted that it came to the conclusion after conducting an inspection in 2016 and a subsequent investigation. Specifically, the company was only able to locate client consent records for about half of the facilitation trades it conducted between June 2015 and June 2016, the SFC added.

In its decision, the regulator said it took into account an undertaking by UBS Securities' board of directors that the company will implement effective controls to keep and maintain adequate records for facilitation trading.

The SFC's announcement came after UBS Group disclosed that the Hong Kong regulator suspended its unit UBS Securities Hong Kong Ltd. from sponsoring IPOs for 18 months amid investigations over its role in certain offerings listed on the city's stock exchange.