Search the BaaS market.

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.

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...

FINRA fined UBS Financial $20 million for anti-money laundering violations. The news release was published on Aug 03, 2026.

FinCEN imposed a record $125 million penalty on UBS Financial Services for repeated AML failures, including unmonitored foreign wire transfers and four years of uncorrected compliance deficiencies.

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 ...

FinCEN fined UBS $125 million for repeat anti-money laundering failures and Bank Secrecy Act violations. The penalty is FinCEN's largest against a broker-dealer for BSA violations.

FinCEN assessed a $125 million civil money penalty against UBS Financial Services on Aug 03, 2026, for willful violations of the Bank Secrecy Act. The agency called it the largest BSA penalty ever imp...

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.