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US Broker-Dealer Receives Heaviest-Ever Penalty as Regulators Fine UBS $125 Million for Anti-Money Laundering Shortfalls
US financial regulators have delivered the largest civil penalty ever assessed against a broker-dealer for anti-money laundering rule breaches. The U.S. ?Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has fined UBS Financial Services […]
