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FirmTracer aggregates publicly available data from official regulatory sources including the FCA Financial Services Register and Companies House. All data links directly to its original official source. This information is provided for research and due diligence purposes only and does not constitute legal or financial advice. FirmTracer is not affiliated with the Financial Conduct Authority or Companies House.

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UBS AG

FRN: 186958•authorised•Profile Score
Company Status
N/A
Registration No.
FC021146
Incorporated
N/A
Registered Address
Not Available

Regulatory Permissions

No permissions listed.

Registered Individuals

No individuals listed.

Enforcement History (8)

DateAction TitleTypeReference
19/03/2019Final Notice 2019: UBS AGfinancial penaltySourcePDF
12/11/2014FCA Final Notice 2014: UBS AGfinancial penaltySourcePDF
08/02/2013FSA Final Notice 2012: UBS AGotherSourcePDF
08/02/2013FSA Final Notice 2013: UBS AGotherSourcePDF
19/12/2012FSA Final Notice 2012: UBS AG 19th DecotherSourcePDF
25/11/2012FSA Final Notice 2012: UBS AGotherSourcePDF
02/12/2011FSA Final Notice 2005: UBS AGotherSourcePDF
05/08/2009FSA Final Notice 2009: UBS AGotherSourcePDF