RegActions records a disclosed FCA monetary penalty of £27,599,400 dated 19 Mar 2019 for UBS AG.
Case facts
| Firm or individual | UBS AG |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 19 Mar 2019 |
| Penalty | £27,599,400 |
| RegActions breach classification | REPORTING |
| Public case ID | e01b35f8-fa11-41d8-b3ab-cae0b295e8b5 |
Case summary
This final notice refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.
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.