Technology · 03/08/2026

CFTC Orders UBS Financial Services Inc. to Pay $8 Million for Supervision Failures Impacting Its AML Transaction Monitoring Systems

The Commodity Futures Trading Commission (CFTC) has ordered UBS Financial Services Inc. to pay $8 million for supervision failures that affected its anti-money laundering (AML) transaction monitoring systems. The CFTC found that UBS failed to properly supervise its AML systems, leading to a significant risk of money laundering and other financial crimes.