UBS Financial Services Inc.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

Official designation
U.S. Commodity Futures Trading CommissionUS CFTC Enforcement ActionsUnited StatesFiled
Reference 9277-26cftc.gov

Supporting documents1

CFTC Orders UBS Financial Services Inc. to Pay $8 Million for Supervision Failures Impacting Its AML Transaction Monitoring Systems
2026-08-03
https://www.cftc.gov/PressRoom/PressReleases/9277-26

Addresses1

WASHINGTON

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