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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£849,972,776
Number of cases: 11
Top Offence Groups (Groups Defined)Penalty TotalNumber of Cases
financial offences£456,138,7768
competition-related offences£393,814,0002
employment-related offences£20,0001
Top Offence TypesPenalty TotalNumber of Cases
banking violation£292,209,2761
foreign exchange market manipulation£233,814,0001
interest rate benchmark manipulation£160,000,0001
internal controls deficiency£87,082,0001
investor protection violation£76,847,5006
labour standards violation£20,0001
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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CompanyOffence TypeYear sort iconAgencyPenalty Amount
Credit Suisse International and Credit Suisse Securities (Europe) Ltdinternal controls deficiency2023UK-PRA£87,082,000
Credit Suisse Services, AGlabour standards violation2021UK-ET£20,000
Credit Suissebanking violation2021UK-FCA£292,209,276
UBS AGinvestor protection violation2019UK-FCA£27,599,400
UBS AGforeign exchange market manipulation2014UK-FCA£233,814,000
Credit Suisse Internationalinvestor protection violation2014UK-FCA£2,398,100
UBS AGinvestor protection violation2013UK-FSA£9,450,000
UBS AGinterest rate benchmark manipulation2012UK-FSA£160,000,000
UBS AGinvestor protection violation2012UK-FSA£29,700,000
Credit Suisse (UK) Limitedinvestor protection violation2011UK-FSA£5,950,000
Credit Suisse Securities (Europe) Limited et al.investor protection violation2010UK-FSA£1,750,000