FCA fines UBS after millions of wrong transaction reports

The UK financial regulator has fined UBS a record £27.6m for misreporting transactions, in breach of the European Market in Financial Instruments Directive (MiFiD).

  • By GlobalCapital
  • 19 Mar 2019
The Financial Conduct Authority (FCA) said the fine related to 135.8m transaction reports over just under a decade, between November 2007 and May 2017. UBS failed to provide complete and accurate information in relation to around 86.67m reportable transactions. According to the FCA, it also wrongly reported ...

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