SEC spotlights private bank AML


Established in 2002 as an affiliate of UBS Financial Services, UBS International offers investment advisory and brokerage services to wealthy international clients, and has several clients in South America and other emerging markets.

"Among our regulators, the SEC is increasingly concerned about how we manage AML risks given our emerging market exposure. Money laundering is the single biggest risk for a bank like ours, as one case can have such a devastating impact. We focus on the effectiveness

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