# OCC FA action 2017-030
> **UBS Ag** · Institution · 2017-03-24
## Action
- **Document number:** 2017-030
- **Docket number:** —
- **Type:** FA — Formal Agreement
- **Respondent type:** Institution
- **Action date:** 2017-03-24
- **Termination date:** 2018-05-31
## Respondent
- **Bank:** UBS Ag
- **Charter number:** 80113
- **Location:** New York, NEW YORK
## Subjects

Board / Management Oversight|BSA Internal Controls|BSA Pillar Violation / 12 CFR 21.21(d)|BSA Risk Assessment|BSA Violation Cited|BSA/AML|Customer/Enhanced Due Diligence (CDD/EDD)|OFAC Compliance Issue|SAR/CTR Monitoring/Filing Issue

## Source
- [OCC enforcement order PDF](https://apps.occ.gov/EASearch/Document/Download?id=2017-030)
- [OCC EASearch portal](https://apps.occ.gov/EASearch/)
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