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 * Markets


UBS FINED $15 MILLION OVER ANTI-MONEY-LAUNDERING SYSTEMS


U.S. REGULATORS POINT TO ROUGHLY 13 YEARS OF COMPLIANCE FAILURES

U.S. REGULATORS THIS YEAR HAD CENSURED UBS OVER ‘SYSTEMIC DEFICIENCIES’ IN
ANTI-MONEY-LAUNDERING SYSTEMS.

Photo: Michele Limina/Bloomberg News
By
Maria Armental and
Samuel Rubenfeld
Updated Dec. 17, 2018 7:03 pm ET

Print

Text

2



UBS Group AG agreed to pay a combined $15 million fine over regulatory
deficiencies in its anti-money-laundering program, U.S. regulators said Monday.

The U.S. Treasury Department’s Financial Crimes Enforcement Network, or FinCEN,
said broker-dealer unit UBS Financial Services Inc. violated the Bank Secrecy
Act, which requires financial firms to report suspicious activities, over a
roughly 13-year period through 2017.

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