UBS Group AG

UBS Group AG(UBS)のニュースとイベント

$54.140

-1.538 (-2.84%)終値時点

UBS のニュース

UBS のイベント

8/31 13:30

Swiss Parliament Backs UBS to Use Convertible Debt for Capital Requirements

A key panel of the Swiss parliament, the upper house's Economic Affairs and Taxation Committee, backed a compromise proposal on UBS Group that would allow the bank to fulfill half of new capital requirements using convertible AT1 debt instead of the highest-quality equity, according to Bloomberg.

8/3 10:00

FINRA Fines UBS $20M for Anti-Money Laundering Violations

FINRA has fined UBS Financial Services $20M for anti-money laundering violations. FINRA found that UBS Financial again failed to establish and implement an AML compliance program reasonably expected to detect and cause the reporting of suspicious transactions involving foreign currency wires. FINRA also found that UBS Financial did not reasonably implement its customer due diligence program with respect to certain retail customers and failed to timely detect and report suspicious money movements by those customers. "Member firms operating in global markets bear a responsibility to design and implement AML programs that are tailored to their business model and capable of reasonably monitoring transactions for potentially suspicious activity," said Bill St. Louis, Executive Vice President and Head of Enforcement at FINRA. "This action underscores FINRA's approach to progressive discipline, which includes escalating sanctions for recidivist misconduct." In settling this matter, UBS Financial accepted and consented to the entry of FINRA's findings, without admitting or denying them.

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