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INVESTOR ALERT: FRAUDSTERS IMPERSONATE UNION BANCAIRE PRIVEE, UBP SA TO TARGET CANADIAN INVESTORS

The Canadian Securities Administrators (CSA) is warning Canadians about an ongoing investment fraud involving the impersonation of Union Bancaire Privée, UBP SA (UBP), a Swiss private bank and asset ...

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ASC
CALGARY RESIDENT SETTLES WITH ASC FOR INSIDER TRADING
August 05, 2026

The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Calgary resident Colton Kenneth...

FINRA
FINRA FINES UBS FINANCIAL $20 MILLION FOR ANTI-MONEY LAUNDERING VIOLATIONS
August 05, 2026

FINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations. FINRA found t...

CFTC
CFTC ORDERS UBS FINANCIAL SERVICES INC. TO PAY $8 MILLION FOR SUPERVISION FAILURES IMPACTING ITS AML TRANSACTION MONITORING SYSTEMS
August 05, 2026

The Commodity Futures Trading Commission announced an order filing and settling charges against UBS Financial Services Inc., a re...

FCA
FCA FINALIZES RULES TO CUT FIRMS" TRANSACTION REPORTING COSTS BY OVER £100M A YEAR
August 05, 2026

Transaction reporting requirements become smarter, simpler and more proportionate under new rules from the FCA. Transaction repor...

FinCEN
FINCEN ASSESSES HISTORIC $125 MILLION PENALTY AGAINST UBS FINANCIAL SERVICES INC. FOR RECIDIVIST BSA VIOLATIONS
August 05, 2026

The Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) assessed a $125,000,000 civil money penalty agains...

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