RegActions records a disclosed FCA monetary penalty of £233,814,000 dated 11 Nov 2014 for UBS AG.
Case facts
| Firm or individual | UBS AG |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 11 Nov 2014 |
| Penalty | £233,814,000 |
| RegActions breach classification | SYSTEMS_CONTROLS |
| Public case ID | 3acfa1fb-b64e-4ae0-8220-dee4c3fee0c4 |
Case summary
For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 spot FX voice trading in London.
Official evidence
This page meets the public case-page evidence threshold.
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Scope
This page describes one source-linked monetary record. RegActions excludes non-monetary outcomes and amounts awaiting review from FCA fine totals. The FCA publication remains the authoritative source.