UBS fined $20M by FINRA for failures in anti-money laundering monitoring (UBS:NYSE)
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FINRA fines UBS Financial $20M for AML compliance failures, citing poor due diligence and missed suspicious foreign currency wires.
FINRA fined UBS Financial Services, part of Swiss bank UBS Group (UBS), $20M for failing to effectively implement an anti-money laundering compliance program fo...