UBS

Regulator action

Named in 1 sanctions listing.

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Sanctions and listings1

Official designation
U.S. Commodity Futures Trading CommissionUS CFTC Enforcement ActionsUnited StatesSettled
Reference 8599-22cftc.gov

Supporting documents1

CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
2022-09-27
https://www.cftc.gov/PressRoom/PressReleases/8599-22

Other names3

Also known as3

UBS Securities LLCUBS AGUBS Financial Services, Inc.

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