# OCC C&D action 2017-042
> **UBS AG Stamford Br** · Institution · 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
- [OCC enforcement order PDF](https://apps.occ.gov/EASearch/Document/Download?id=2017-042)
- [OCC EASearch portal](https://apps.occ.gov/EASearch/)
---
*AI Analytics · CC0 1.0*