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UBS

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Stories

  • UBS Financial Services ($125M)

    Regulator: FinCEN. Jurisdiction: US. AML/BSA fine. FinCEN imposed a 125 million dollar penalty, its largest ever on a broker-dealer, after more than 61,500 foreign currency wires worth over 10.5 billion dollars went unmonitored between January 2019 and June 2023.

    Zyphe Blog11 min read

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