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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 Total | Number of Cases |
| financial offences | £456,138,776 | 8 |
| competition-related offences | £393,814,000 | 2 |
| employment-related offences | £20,000 | 1 |
| Top Offence Types | Penalty Total | Number of Cases |
| banking violation | £292,209,276 | 1 |
| foreign exchange market manipulation | £233,814,000 | 1 |
| interest rate benchmark manipulation | £160,000,000 | 1 |
| internal controls deficiency | £87,082,000 | 1 |
| investor protection violation | £76,847,500 | 6 |
| labour standards violation | £20,000 | 1 |
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  |
| Credit Suisse | banking violation | 2021 | UK-FCA | £292,209,276 |
| UBS AG | foreign exchange market manipulation | 2014 | UK-FCA | £233,814,000 |
| UBS AG | interest rate benchmark manipulation | 2012 | UK-FSA | £160,000,000 |
| Credit Suisse International and Credit Suisse Securities (Europe) Ltd | internal controls deficiency | 2023 | UK-PRA | £87,082,000 |
| UBS AG | investor protection violation | 2012 | UK-FSA | £29,700,000 |
| UBS AG | investor protection violation | 2019 | UK-FCA | £27,599,400 |
| UBS AG | investor protection violation | 2013 | UK-FSA | £9,450,000 |
| Credit Suisse (UK) Limited | investor protection violation | 2011 | UK-FSA | £5,950,000 |
| Credit Suisse International | investor protection violation | 2014 | UK-FCA | £2,398,100 |
| Credit Suisse Securities (Europe) Limited et al. | investor protection violation | 2010 | UK-FSA | £1,750,000 |
| Credit Suisse Services, AG | labour standards violation | 2021 | UK-ET | £20,000 |
