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Registry — Vantage Bank Texas (US) added to the registry Enforcement — Fine issued against Deutsche Bank AG · BaFin · Nov 12, 2026 Partnership — Banque Internationale à Luxembourg Selects Fourthline for Digital Onboarding · Nov 13, 2026 Product — 4Front Credit Union Launches Embedded BNPL with equipifi · Nov 9, 2026 M&A — Securitize Agrees to Acquire Lending Infrastructure Firm River One · Nov 10, 2026 Funding — Griffin Raises $20M Series B to Add Cards and Stablecoin Services · Nov 12, 2026 Registry — Vantage Bank Texas (US) added to the registry Enforcement — Fine issued against Deutsche Bank AG · BaFin · Nov 12, 2026 Partnership — Banque Internationale à Luxembourg Selects Fourthline for Digital Onboarding · Nov 13, 2026 Product — 4Front Credit Union Launches Embedded BNPL with equipifi · Nov 9, 2026 M&A — Securitize Agrees to Acquire Lending Infrastructure Firm River One · Nov 10, 2026 Funding — Griffin Raises $20M Series B to Add Cards and Stablecoin Services · Nov 12, 2026

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4 results for "UBS (U.S. affiliate)"

Regulatory Tracker4

Regulatory TrackerAug 4, 2026critical

UBS (U.S. affiliate)

FinCEN imposed a $125 million civil penalty on the U.S. affiliate of UBS for Bank Secrecy Act violations on Aug 04, 2026. The agency called it the largest such penalty ever against a broker-dealer.

Regulatory TrackerAug 3, 2026high

UBS Financial Services

FINRA fined UBS Financial Services $20 million on Aug 03, 2026 for anti-money-laundering violations. The firm failed to establish a compliance program reasonably designed to detect and report suspicio...

Regulatory TrackerAug 3, 2026medium

UBS Financial Services

The CFTC on Aug 03, 2026, ordered UBS Financial Services to pay $8 million for failing to supervise the configuration and operation of its AML transaction-monitoring systems for foreign-currency wire ...

Regulatory TrackerAug 4, 2026high

UBS Financial Services Inc.

The CFTC fined UBS Financial Services $8 million for failing to supervise AML transaction-monitoring systems. The order also requires the firm to cease and desist from further violations.