FCA fines / UBS AG
UBS AG — FCA fines
The FCA has fined UBS AG £270,863,400 across 3 penalties, most recently 19 Mar 2019.
Last updated 19 Mar 2019
All FCA fines for UBS AG
| Date | Amount | Breach category | Source |
|---|---|---|---|
| 19 Mar 2019 | £27,599,400 | REPORTING | Official notice |
| 11 Nov 2014 | £233,814,000 | SYSTEMS_CONTROLS | Official notice |
| 8 Feb 2013 | £9,450,000 | INVESTMENT | Official notice |
Amounts are normalised to GBP. Penalties still awaiting RegActions' amount-review gate are listed but excluded from the totals above.
Breach breakdown
| Breach category | Penalties | Total |
|---|---|---|
| SYSTEMS_CONTROLS | 1 | £233,814,000 |
| REPORTING | 1 | £27,599,400 |
| INVESTMENT | 1 | £9,450,000 |
Frequently asked questions
How much has UBS AG been fined by the FCA?
The FCA has fined UBS AG £270,863,400 across 3 penalties recorded by RegActions, based on source-linked notices that have passed the amount-review gate.
How many times has UBS AG been fined by the FCA?
RegActions has recorded 3 disclosed FCA monetary penalties for UBS AG.
What was UBS AG's largest FCA fine?
UBS AG's largest disclosed FCA fine recorded by RegActions is £233,814,000.