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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 TotalNumber of Cases
competition-related offences£393,814,0002
financial offences£66,749,4003
Top Offence TypesPenalty TotalNumber of Cases
foreign exchange market manipulation£233,814,0001
interest rate benchmark manipulation£160,000,0001
investor protection violation£66,749,4003
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:

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CompanyOffence TypeYearAgencyPenalty Amount sort icon
UBS AGforeign exchange market manipulation2014UK-FCA£233,814,000
UBS AGinterest rate benchmark manipulation2012UK-FSA£160,000,000
UBS AGinvestor protection violation2012UK-FSA£29,700,000
UBS AGinvestor protection violation2019UK-FCA£27,599,400
UBS AGinvestor protection violation2013UK-FSA£9,450,000