CFTC Orders UBS Financial Services To Pay $8 Million Over Shortcomings In Anti-Money Laundering Oversight
On August 3, 2026, the Commodity Futures Trading Commission (CFTC) announced that it had filed and settled charges against UBS Financial Services Inc. (NYSE:UBS), a registered futures commission merchant. The action centered on the firm’s failure to properly oversee the setup and functioning of systems used to monitor transactions for potential money-laundering risks, specifically those involving…