Enforcement
Key facts
CFTC announced an order filing and settling charges against UBS Financial Services Inc
Key facts
UBS Financial Services Inc. is described as a registered futures commission merchant
Key facts
The conduct involved failure to diligently supervise the configuration and operation of AML transaction monitoring systems…
Atlas Watchline
The CFTC said UBS Financial Services Inc. failed to properly supervise anti-money laundering monitoring for foreign-currency…