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Violation Tracker UK Parent Company Summary
Parent Company Name: UBS
Ownership Structure: publicly traded
Headquartered in: Switzerland
Major Industry: financial services
Specific Industry: banking & securities
Penalty total since 2010: £460,563,400
Number of cases: 5
| Top Offence Groups (Groups Defined) | Penalty Total | Number of Cases |
| competition-related offences | £393,814,000 | 2 |
| financial offences | £66,749,400 | 3 |
| Top Offence Types | Penalty Total | Number of Cases |
| foreign exchange market manipulation | £233,814,000 | 1 |
| interest rate benchmark manipulation | £160,000,000 | 1 |
| investor protection violation | £66,749,400 | 3 |
Note: Parent-subsidiary linkages are based on current relationships and may vary from what was the case when a violation occurred.
Links: This company's summary page in the U.S. Violation Tracker can be found
here.
Individual Penalty Cases:
Click on the company or penalty amount for more information on each case.
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| Company | Offence Type | Year | Agency  . | Penalty Amount |
| UBS AG | investor protection violation | 2019 | UK-FCA | £27,599,400 |
| UBS AG | foreign exchange market manipulation | 2014 | UK-FCA | £233,814,000 |
| UBS AG | investor protection violation | 2013 | UK-FSA | £9,450,000 |
| UBS AG | interest rate benchmark manipulation | 2012 | UK-FSA | £160,000,000 |
| UBS AG | investor protection violation | 2012 | UK-FSA | £29,700,000 |
