← OCC enforcement actions
OCC C&D action 2017-042
Institution · UBS AG Stamford Br · 2017-06-05
Action
- Document number
2017-042- Docket number
AA-EC-2017-17- Type
- C&D — Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
- Respondent type
- Institution
- Action date
- 2017-06-05
- Termination date
- 2021-07-19
Respondent
- Bank
- UBS AG Stamford Br
- Charter number
80135- Location
- Stamford, CONNECTICUT
Subjects
Audit|Compliance Risk Management|Foreign Exchange (FX)|Internal Audit |Trading & Securities
Source
- Authoritative
- OCC enforcement order PDF
- Portal
- OCC EASearch
- Machine
- JSON-LD · Markdown