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Registry — Vantage Bank Texas (US) added to the registry Enforcement — Fine issued against UBS Financial Services · FINRA · Aug 3, 2026 Partnership — QI Tech Partners with Bettr to Expand Embedded Credit in Brazil · Aug 3, 2026 Product — Flipkart Launches Pay Later Embedded Credit With PayU Finance · Jul 31, 2026 M&A — Visa to Acquire BioCatch for $2.4B in Cash · Aug 3, 2026 Funding — InvestiFi Raises $20M to Expand Embedded Investing for Credit Unions · Jul 31, 2026 Registry — Vantage Bank Texas (US) added to the registry Enforcement — Fine issued against UBS Financial Services · FINRA · Aug 3, 2026 Partnership — QI Tech Partners with Bettr to Expand Embedded Credit in Brazil · Aug 3, 2026 Product — Flipkart Launches Pay Later Embedded Credit With PayU Finance · Jul 31, 2026 M&A — Visa to Acquire BioCatch for $2.4B in Cash · Aug 3, 2026 Funding — InvestiFi Raises $20M to Expand Embedded Investing for Credit Unions · Jul 31, 2026

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3 results for "UBS Financial Services"

Regulatory Tracker3

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, 2026critical

UBS Financial Services

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...

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 ...