瑞銀參與全行業外匯調查的監管決議
蘇黎世/巴塞爾，2014年11月12日- 瑞銀與瑞士金融市場監督管理局(FINMA)、美國商品期貨交易委員會 (CFTC)和英國金融市場行為監管局(FCA)針對外匯市場違規操作的全行業調查達成決議。FINMA發出處理決議以結束針對瑞銀的正式調查，瑞銀同時亦與CFTC和FCA達成協議。
瑞銀集團首席執行官Sergio P. Ermotti表示：「今天的決議是我們在轉型過程及瑞銀結束這一全行業調查邁出的重要一步。我們將繼續配合正在進行的相關調查。」
FINMA要求瑞銀上繳1.34億瑞郎以沒收所規避的成本和利潤。此外，根據多家銀行達成的協議，瑞銀同意向CFTC支付2.9億美元（約合2.81億瑞郎1）罰金。瑞銀基於多家銀行達成的協議亦同意向FCA支付2.34億英鎊（約合3.59億瑞郎1）罰金。瑞銀在2014年第三季對這些費用作了全額提列準備。協議和決議中所述行為也包括瑞銀員工意圖操縱G10外匯的現貨和基準匯率價格，其中包括瑞銀員工與其他銀行員工聯合及不當分享G10外匯現貨交易的保密資訊。監管決議還包括一些改善措施，瑞銀已經或正著手實施其中的多項措施。
過去幾年，瑞銀在文化和合規政策方面作出了重大調整，其進展得到了監管機構、客戶和其他相關者的正面回應。瑞銀是第一家自主通報潛在不當行為，並全面配合監管機構進行匯率和相關市場評估的銀行。瑞銀對相關員工採取了必要的懲治措施。此外，基於公司的調查結果和監管要求，瑞銀對外匯業務和整個公司的控制架構有顯著提升。
瑞銀將繼續配合正在進行的外匯及相關調查，其中包括針對個人有關的調查。
1 匯率換算基於2014年11月11日CET時間下午5點彭博匯率美元/瑞郎：0.96810及英鎊/瑞郎：1.5366計算。
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Cautionary Statement Regarding Forward-Looking Statements – 3Q14
This report contains statements that constitute “forward-looking statements,” including but not limited to management’s outlook for UBS’s financial performance and statements relating to the anticipated effect of transactions and strategic initiatives on UBS’s business and future development. While these forward-looking statements represent UBS’s judgments and expectations concerning the matters described, a number of risks, uncertainties and other important factors could cause actual developments and results to differ materially from UBS’s expectations. These factors include, but are not limited to: (i) the degree to which UBS is successful in executing its announced strategic plans, including its efficiency initiatives and its planned further reduction in its Basel III risk-weighted assets (RWA) and leverage ratio denominator (LRD); (ii) developments in the markets in which UBS operates or to which it is exposed, including movements in securities prices or liquidity, credit spreads, currency exchange rates and interest rates and the effect of economic conditions and market developments on the financial position or creditworthiness of UBS’s clients and counterparties; (iii) changes in the availability of capital and funding, including any changes in UBS’s credit spreads and ratings, or arising from requirements for bail-in debt or loss-absorbing capital; (iv) changes in or the implementation of financial legislation and regulation in Switzerland, the US, the UK and other financial centers that may impose more stringent capital (including leverage ratio), liquidity and funding requirements, incremental tax requirements, additional levies, limitations on permitted activities, constraints on remuneration or other measures; (v) uncertainty as to when and to what degree the Swiss Financial Market Supervisory Authority (FINMA) will approve reductions to the incremental RWA resulting from the supplemental operational risk capital analysis mutually agreed to by UBS and FINMA, or will approve a limited reduction of capital requirements due to measures to reduce resolvability risk; (vi) the degree to which UBS is successful in executing the announced creation of a new Swiss banking subsidiary, a holding company for the UBS Group (including the announced offer to exchange shares of UBS AG for shares of such holding company), a US intermediate holding company, changes in the operating model of UBS Limited and other changes which UBS may make in its legal entity structure and operating model, including the possible consequences of such changes, and the potential need to make other changes to the legal structure or booking model of UBS Group in response to legal and regulatory requirements, including capital requirements, resolvability requirements and the pending Swiss parliamentary proposals and proposals in other countries for mandatory structural reform of banks; (vii) changes in UBS’s competitive position, including whether differences in regulatory capital and other requirements among the major financial centers will adversely affect UBS’s ability to compete in certain lines of business; (viii) the liability to which UBS may be exposed, or possible constraints or sanctions that regulatory authorities might impose on UBS, due to litigation, contractual claims and regulatory investigations; (ix) the effects on UBS’s cross-border banking business of tax or regulatory developments and of possible changes in UBS’s policies and practices relating to this business; (x) UBS’s ability to retain and attract the employees necessary to generate revenues and to manage, support and control its businesses, which may be affected by competitive factors including differences in compensation practices; (xi) changes in accounting or tax standards or policies, and determinations or interpretations affecting the recognition of gain or loss, the valuation of goodwill, the recognition of deferred tax assets and other matters; (xii) limitations on the effectiveness of UBS’s internal processes for risk management, risk control, measurement and modeling, and of financial models generally; (xiii) whether UBS will be successful in keeping pace with competitors in updating its technology, particularly in trading businesses; (xiv) the occurrence of operational failures, such as fraud, unauthorized trading and systems failures; and (xv) the effect that these or other factors or unanticipated events may have on our reputation and the additional consequences that this may have on our business and performance. The sequence in which the factors above are presented is not indicative of their likelihood of occurrence or the potential magnitude of their consequences. Our business and financial performance could be affected by other factors identified in our past and future filings and reports, including those filed with the SEC. More detailed information about those factors is set forth in documents furnished by UBS and filings made by UBS with the SEC, including UBS’s Annual Report on Form 20-F for the year ended 31 December 2013. UBS is not under any obligation to (and expressly disclaims any obligation to) update or alter its forward-looking statements, whether as a result of new information, future events, or otherwise.
Rounding
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Tables
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