UBS AG

Regulator action

Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

Official designation
U.S. Commodity Futures Trading CommissionUS CFTC Enforcement ActionsUnited StatesFiled
Reference 8448-21cftc.gov

Supporting documents1

CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings
2021-10-14
https://www.cftc.gov/PressRoom/PressReleases/8448-21

Addresses1

Washington, DC

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.