UBS Financial Services

FINRA fined UBS Financial Services $20 million on Aug 03, 2026 for anti-money-laundering violations. The regulator found UBS failed to establish and implement a compliance program reasonably expected to detect and cause the reporting of suspicious transactions involving foreign-currency wires. The FINRA action was part of a broader coordinated enforcement effort.

FinCEN on the same day assessed a $125 million civil money penalty against UBS for willful violations of the Bank Secrecy Act. The CFTC also ordered UBS to pay $8 million for failing to supervise the configuration and operation of its AML transaction monitoring systems for foreign-currency wire transfers. Total penalties across the three agencies reached $153 million.