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Violation Tracker Individual Record

Company: UBS AG
Current Parent Company: UBS
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $1,700,100
Year: 2015
Date: August 27, 2015
Offense Group: financial offenses
Primary Offense: economic sanction violation
Violation Description: The U.S. Department of the Treasury's Office of Foreign Assets Control announced a $1,700,100 settlement with UBS AG to settle its potential civil liability for 222 apparent violations of the Global Terrorism Sanctions Regulations.
Level of Government: federal
Action Type: agency action
Agency: Office of Foreign Assets Control
Civil or Criminal Case: civil
HQ Country of Current Parent: Switzerland
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.