FINRA fines UBS Financial Services for reporting deficiencies
From July 2018, through September 2021, UBS failed to timely report approximately 3,850 transactions in TRACE-eligible securities.
UBS fine
CFTC fines UBS over deleted audio recordings
As a result of failures in its audio retention systems, UBS deleted over 1,000 hours of audio data after one day.
UBS to pay $8M to settle SEC charges related to ETP investments
ETP, SEC, UBS, UBS fine
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The SEC today filed a settled action against UBS for compliance failures relating to sales of a volatility linked ETP.
Cboe fines UBS Securities for CFE rules violations
Cboe Futures Exchange, UBS fine, UBS Securities
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UBS did not maintain and could not provide to CFE the audit trail data requested by the Exchange.
