UBS AG NY 787 7th Ave WMA Branch

Financial crime

United States. Named in 3 sanctions listings.

Sanctions and listings3

Effective
24 Mar 2017
Formal Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
FA
OFAC Compliance Issue
SAR/CTR Monitoring/Filing Issue
BSA/AML
BSA Violation Cited
Board / Management Oversight
BSA Internal Controls
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Risk Assessment
BSA Pillar Violation / 12 CFR 21.21(d)
apps.occ.gov
Effective
31 May 2018
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
SAR/CTR Monitoring/Filing Issue
BSA Officer
BSA/AML
BSA Violation Cited
BSA Internal Controls
BSA SAR Violation / 12 CFR 21.11 or 163.180
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Training
BSA Program Violation / 12 CFR 21.21
BSA Independent Testing/Audit
BSA Risk Assessment
Reference AA-EC-2018-30apps.occ.gov
Effective
20 May 2015
US Federal Reserve Enforcement Actions
Federal Reserve BoardUS Federal Reserve Enforcement ActionsUnited States
Civil Money Penalty, $342,000,000
Programme US-FED-ENFfederalreserve.gov federalreserve.gov

Identifiers1

Identifier	Number
Registration number	80113

Supporting documents1

Federal Reserve announces fines totaling more than $1.8 billion against six major banking organizations for their unsafe and unsound practices in the foreign exchange (FX) markets
2015-05-20
https://www.federalreserve.gov/newsevents/pressreleases/enforcement20150520a.htm

Other names1

Also known as1

UBS Ag

Addresses2

Zurich, Switzerland
New York, NY

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