Nex Systems
Company

UBS AG Stamford Br

Financial crime

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • 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
    5 Jun 2017

    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

    Audit

    Compliance Risk Management

    Internal Audit

    Foreign Exchange (FX)

    Trading & Securities

    Reference AA-EC-2017-17apps.occ.gov

Identifiers1

IdentifierNumber
Registration number80135

Other names1

Also known as1

UBS AG Stamford Branch

Addresses1

  • Stamford, CT

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.