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FINRA fines major banks for supervisory failures and inaccurate trade confirmations

The Financial Industry Regulatory Authority (FINRA) imposed fines on UBS Financial Services and three other major banks for failing to establish adequate supervisory systems to comply with regulations. UBS was fined $1.1 million for sending over 330 million inaccurate trade confirmations from 2014 to 2024, with issues identified as early as February 2014. Although the bank remediated 95% of the deficiencies by December 2023, full resolution was not achieved until November 2024.
Compliance Week
United States Dollar UBS Group AG CHE Jeff Dale
Regulatory & Legal, News Article
15:44 03.01.2025
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