{"id":34804,"date":"2026-08-04T16:48:29","date_gmt":"2026-08-04T16:48:29","guid":{"rendered":"https:\/\/www.complycube.com\/?p=34804"},"modified":"2026-08-04T16:59:02","modified_gmt":"2026-08-04T16:59:02","slug":"%e7%91%9e%e9%93%b6%e9%87%91%e8%9e%8d%e6%9c%8d%e5%8a%a1%e5%85%ac%e5%8f%b8%e8%a2%ab%e7%bd%9a%e6%ac%be1-25%e4%ba%bf%e8%8b%b1%e9%95%91","status":"publish","type":"post","link":"https:\/\/www.complycube.com\/zh\/ubs-financial-services-hit-with-125m-fine\/","title":{"rendered":"\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u88ab\u7f8e\u56fd\u76d1\u7ba1\u673a\u6784\u7f5a\u6b3e1TP71.25\u4ebf\u7f8e\u5143"},"content":{"rendered":"<p>\u7f8e\u56fd\u76d1\u7ba1\u673a\u6784\u5bf9\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u5904\u4ee5\u521b\u7eaa\u5f55\u7684$125M\u7f5a\u6b3e\u3002\u6b64\u524d\u6709\u8c03\u67e5\u53d1\u73b0\uff0c\u745e\u94f6\u5373\u4f7f\u5728\u4e4b\u524d\u7684\u76d1\u7ba1\u884c\u52a8\u4e2d\u4e5f\u672a\u80fd\u89e3\u51b3\u91cd\u5927\u7684\u53cd\u6d17\u94b1\uff08AML\uff09\u7f3a\u9677\u3002.<\/p>\n\n\n\n<p>2026\u5e748\u67083\u65e5\uff0c\u91d1\u878d\u72af\u7f6a\u6267\u6cd5\u7f51\u7edc\uff08FinCEN\uff09\u3001\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a\uff08SEC\uff09\u3001\u5546\u54c1\u671f\u8d27\u4ea4\u6613\u59d4\u5458\u4f1a\uff08CFTC\uff09\u4ee5\u53ca\u91d1\u878d\u4e1a\u76d1\u7ba1\u5c40\uff08FINRA\uff09\u8054\u5408\u5f00\u5c55\u4e86\u4e00\u9879\u884c\u52a8\u3002\u5f53\u5c40\u5bf9\u4e00\u5bb6\u4e25\u91cd\u8fdd\u53cd\u300a\u94f6\u884c\u4fdd\u5bc6\u6cd5\u300b\uff08BSA\uff09\u7684\u7ecf\u7eaa\u4ea4\u6613\u5546\u5904\u4ee5\u4e86\u8fc4\u4eca\u4e3a\u6b62\u6700\u9ad8\u7684\u7f5a\u6b3e\u3002.<\/p>\n\n\n\n<p>\u745e\u94f6\u6b64\u6b21\u56e0\u8fdd\u53cd\u53cd\u6d17\u94b1\u89c4\u5b9a\u800c\u88ab\u7f5a\u6b3e\uff0c\u539f\u56e0\u662f\u5bf9\u5176 2019 \u5e74 1 \u6708\u81f3 2023 \u5e74 6 \u6708\u671f\u95f4\u7684\u6d3b\u52a8\u8fdb\u884c\u4e86\u5e7f\u6cdb\u8c03\u67e5\u3002\u800c\u5728\u6b64\u4e4b\u524d\uff0c\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u5df2\u627f\u8bfa\u7ea0\u6b63\u5728 2018 \u5e74\u65e9\u4e9b\u65f6\u5019\u7684\u6267\u6cd5\u884c\u52a8\u4e2d\u53d1\u73b0\u7684\u7c7b\u4f3c\u95ee\u9898\u3002.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">\u7f8e\u56fd\u76d1\u7ba1\u673a\u6784\u4e3a\u4f55\u5bf9\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u5904\u4ee5\u7f5a\u6b3e\uff1f<\/h2>\n\n\n\n<p>\u6839\u636e\u91d1\u878d\u72af\u7f6a\u6267\u6cd5\u7f51\u7edc\uff08FINCEN\uff09\u7684\u8bf4\u6cd5\uff0c\u745e\u94f6\u96c6\u56e2\u81ea\u613f <a href=\"https:\/\/www.fincen.gov\/news\/news-releases\/fincen-assesses-historic-125-million-penalty-against-ubs-financial-services-inc\" target=\"_blank\" rel=\"noopener nofollow\" title=\"\">\u627f\u8ba4\u8fdd\u89c4\u884c\u4e3a<\/a> \u4ed6\u4eec\u8fdd\u53cd\u4e86\u300a\u94f6\u884c\u4fdd\u5bc6\u6cd5\u300b(BSA)\u3002\u4ed6\u4eec\u672a\u80fd\u5efa\u7acb\u548c\u7ef4\u62a4\u5b8c\u5584\u7684\u53cd\u6d17\u94b1\u98ce\u9669\u9632\u8303\u8ba1\u5212\u3002\u6b64\u5916\uff0c\u4ed6\u4eec\u4e5f\u672a\u80fd\u53ca\u65f6\u63d0\u4ea4\u53ef\u7591\u6d3b\u52a8\u62a5\u544a(SAR)\u3002\u591a\u5bb6\u7f8e\u56fd\u76d1\u7ba1\u673a\u6784\u53d1\u73b0\u4ed6\u4eec\u5b58\u5728\u4e25\u91cd\u7684\u5408\u89c4\u95ee\u9898\uff0c\u4f8b\u5982\uff1a<\/p>\n\n\n\n<figure class=\"wp-block-image size-large\"><img decoding=\"async\" width=\"1024\" height=\"577\" src=\"https:\/\/www.complycube.com\/wp-content\/uploads\/2026\/08\/us-regulators-issue-record-125m-aml-fine-to-ubs-financial-services--1024x577.png\" alt=\"\u56fe\u8868\u5ba3\u5e03\u745e\u94f6\u96c6\u56e2\u56e0\u8fdd\u53cd\u53cd\u6d17\u94b1\u89c4\u5b9a\u800c\u88ab\u5904\u4ee5\u521b\u7eaa\u5f55\u7684\u7f5a\u6b3e\uff0c\u56fe\u4e2d\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u4e0e\u7f8e\u56fd\u56fd\u4f1a\u5927\u53a6\u5e76\u5217\uff0c\u5e76\u91cd\u70b9\u5c55\u793a\u4e86\u7f8e\u56fd\u76d1\u7ba1\u673a\u6784\u5bf9\u745e\u94f6\u96c6\u56e2\u5c61\u6b21\u8fdd\u53cd\u53cd\u6d17\u94b1\u89c4\u5b9a\u7684\u884c\u4e3a\u91c7\u53d6\u7684\u6267\u6cd5\u884c\u52a8\u3002.\" class=\"wp-image-34807\" srcset=\"https:\/\/www.complycube.com\/wp-content\/uploads\/2026\/08\/us-regulators-issue-record-125m-aml-fine-to-ubs-financial-services--1024x577.png 1024w, https:\/\/www.complycube.com\/wp-content\/uploads\/2026\/08\/us-regulators-issue-record-125m-aml-fine-to-ubs-financial-services--300x169.png 300w, https:\/\/www.complycube.com\/wp-content\/uploads\/2026\/08\/us-regulators-issue-record-125m-aml-fine-to-ubs-financial-services--768x433.png 768w, https:\/\/www.complycube.com\/wp-content\/uploads\/2026\/08\/us-regulators-issue-record-125m-aml-fine-to-ubs-financial-services--1536x866.png 1536w, https:\/\/www.complycube.com\/wp-content\/uploads\/2026\/08\/us-regulators-issue-record-125m-aml-fine-to-ubs-financial-services--2048x1154.png 2048w, https:\/\/www.complycube.com\/wp-content\/uploads\/2026\/08\/us-regulators-issue-record-125m-aml-fine-to-ubs-financial-services--18x10.png 18w\" sizes=\"(max-width: 1024px) 100vw, 1024px\" \/><\/figure>\n\n\n\n<ul class=\"wp-block-list\">\n<li>\u672a\u80fd\u76d1\u63a7\u8d85\u8fc7 5 \u4e07\u7b14\u5916\u5e01\u7535\u6c47\uff0c\u603b\u989d\u8d85\u8fc7 17 \u4e07\u4ebf\u7f8e\u5143\u3002.<\/li>\n\n\n\n<li>\u7f3a\u4e4fC<a href=\"https:\/\/www.complycube.com\/zh\/%e8%a7%a3%e5%86%b3%e6%96%b9%e6%a1%88\/%e5%b0%bd%e8%81%8c%e8%b0%83%e6%9f%a5%e9%81%b5%e5%ae%88\/%e5%ae%a2%e6%88%b7%e5%b0%bd%e8%81%8c%e8%b0%83%e6%9f%a5\/\" title=\"\">\u5ba2\u6237\u5c3d\u804c\u8c03\u67e5<\/a> \u5bf9\u9ad8\u98ce\u9669\u5ba2\u6237\u8fdb\u884c\uff08CDD\uff09\u8c03\u67e5\uff0c\u5305\u62ec\u4e0e\u4fc4\u7f57\u65af\u548c\u62c9\u4e01\u7f8e\u6d32\u7b49\u9ad8\u98ce\u9669\u56fd\u5bb6\u6709\u8054\u7cfb\u7684\u5ba2\u6237\u3002.<\/li>\n\n\n\n<li>\u672a\u80fd\u6b63\u786e\u8bc4\u4f30\u8d22\u5bcc\u6765\u6e90\uff0c\u4e5f\u672a\u80fd\u8ddf\u8e2a\u4e0e\u9ad8\u98ce\u9669\u5ba2\u6237\u76f8\u5173\u7684\u8d1f\u9762\u5a92\u4f53\u62a5\u9053\u3002.<\/li>\n\n\n\n<li>\u5bf9\u672c\u5e94\u5f15\u8d77\u6267\u6cd5\u90e8\u95e8\u6ce8\u610f\u7684\u5404\u79cd\u53ef\u7591\u4ea4\u6613\u62a5\u544a\u6ede\u540e\u3002.<\/li>\n\n\n\n<li>\u672a\u80fd\u7ea0\u6b63\u5728 2018 \u5e74\u4e4b\u524d\u7684\u548c\u89e3\u534f\u8bae\u4e2d\u53d1\u73b0\u7684\u5df2\u77e5\u7684\u53cd\u6d17\u94b1\u63a7\u5236\u7f3a\u9677\u3002.<\/li>\n<\/ul>\n\n\n\n<p>\u56e0\u6b64\uff0c\u91d1\u878d\u72af\u7f6a\u6267\u6cd5\u7f51\u7edc\uff08FinCEN\uff09\u8981\u6c42\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u5bf9\u5176\u53cd\u6d17\u94b1\u8ba1\u5212\u8fdb\u884c\u72ec\u7acb\u5ba1\u67e5\u3002\u4ed6\u4eec\u9700\u8981\u8fdb\u884c\u56de\u987e\u6027\u8c03\u67e5\uff0c\u4ee5\u8bc6\u522b\u5e76\u62a5\u544a\u56e0\u6d41\u7a0b\u4e0d\u5b8c\u5584\u800c\u672a\u80fd\u53d1\u73b0\u7684\u4efb\u4f55\u53ef\u7591\u6d3b\u52a8\u3002.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u6700\u5927\u7684\u5408\u89c4\u5931\u8bef<\/h2>\n\n\n\n<p>\u745e\u94f6\u53cd\u6d17\u94b1\u7f5a\u6b3e\u80cc\u540e\u66f4\u6df1\u5c42\u7684\u542b\u4e49\u662f\u2026\u2026 <a href=\"https:\/\/amlincubator.com\/blog\/the-step-by-step-process-of-aml-regulatory-remediation\" target=\"_blank\" rel=\"noopener nofollow\" title=\"\">\u8865\u6551\u63aa\u65bd<\/a> \u53cd\u6d17\u94b1\u63a7\u5236\u548c\u7cfb\u7edf\u5b58\u5728\u7f3a\u9677\u3002\u91d1\u878d\u72af\u7f6a\u6267\u6cd5\u7f51\u7edc\uff08FinCEN\uff09\u5f3a\u8c03\uff0c\u745e\u94f6\u662f\u5c61\u72af\u8005\u3002\u5c3d\u7ba1\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u4fdd\u8bc1\u4f1a\u6539\u8fdb\u76d1\u63a7\u63a7\u5236\uff0c\u4f46\u7f8e\u56fd\u76d1\u7ba1\u673a\u6784\u5728\u9996\u6b21\u8fdd\u89c4\u4e8b\u4ef6\u53d1\u751f\u540e\u7684\u51e0\u5e74\u91cc\uff0c\u4ecd\u7136\u53d1\u73b0\u4e86\u5173\u952e\u7684\u6f0f\u6d1e\u3002\u8fd9\u5bfc\u81f4\u9ad8\u98ce\u9669\u6d3b\u52a8\u672a\u80fd\u88ab\u53d1\u73b0\u3002.<\/p>\n\n\n\n<p>\u6b64\u6b21\u6267\u6cd5\u884c\u52a8\u8868\u660e\uff0c\u5168\u7403\u548c\u7f8e\u56fd\u76d1\u7ba1\u673a\u6784\u8d8a\u6765\u8d8a\u671f\u671b\u91d1\u878d\u673a\u6784\u80fd\u591f\u8bc6\u522b\u5176\u7cfb\u7edf\u4e2d\u7684\u8584\u5f31\u73af\u8282\u3002\u4ed6\u4eec\u8fd8\u8981\u6c42\u4f01\u4e1a\u8bc1\u660e\u5176\u8865\u6551\u8ba1\u5212\u662f\u5982\u4f55\u5f97\u5230\u59a5\u5584\u5b9e\u65bd\u3001\u9a8c\u8bc1\u548c\u6301\u7eed\u76d1\u63a7\u7684\u3002.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">\u745e\u94f6\u91d1\u878d\u670d\u52a1\u5408\u89c4\u7ecf\u9a8c\u603b\u7ed3<\/h2>\n\n\n\n<p>\u4ece\u9488\u5bf9\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u7684\u96c6\u4f53\u6267\u6cd5\u884c\u52a8\u4e2d\uff0c\u6211\u4eec\u53ef\u4ee5\u6c72\u53d6\u8bb8\u591a\u91cd\u8981\u7684\u5408\u89c4\u7ecf\u9a8c\u6559\u8bad\u3002\u6240\u6709\u53d7\u76d1\u7ba1\u516c\u53f8\u90fd\u5fc5\u987b\u8003\u8651\u4ee5\u4e0b\u51e0\u70b9\uff1a<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><strong>\u5fc5\u987b\u5c55\u793a\u8865\u6551\u63aa\u65bd\uff1a<\/strong> \u76d1\u7ba1\u627f\u8bfa\u9700\u8981\u53ef\u8861\u91cf\u7684\u6539\u8fdb\uff0c\u800c\u4e0d\u4ec5\u4ec5\u662f\u67d0\u79cd\u5b9e\u65bd\u8ba1\u5212\u3002.<\/li>\n\n\n\n<li><strong>\u76d1\u6d4b\u9700\u8981\u6301\u7eed\u4f18\u5316\uff1a<\/strong> \u4f20\u7edf\u76d1\u63a7\u7cfb\u7edf\u548c\u7cdf\u7cd5\u7684\u6570\u636e\u5904\u7406\u5bfc\u81f4\u5408\u89c4\u4f53\u7cfb\u5b58\u5728\u6f0f\u6d1e\u3002.<\/li>\n\n\n\n<li><strong>CDD\u662f\u4e00\u9879\u6301\u7eed\u6027\u7684\u4e49\u52a1\uff1a<\/strong> \u98ce\u9669\u8bc4\u4f30\u9700\u8981\u6839\u636e\u5ba2\u6237\u6d3b\u52a8\u548c\u5916\u90e8\u98ce\u9669\u6307\u6807\u4e0d\u65ad\u6539\u8fdb\u548c\u8c03\u6574\u3002.<\/li>\n\n\n\n<li><strong>\u6cbb\u7406\u81f3\u5173\u91cd\u8981\uff1a <\/strong>\u5fc5\u987b\u5bf9\u53cd\u6d17\u94b1\u6d41\u7a0b\u8fdb\u884c\u5168\u9762\u76d1\u7763\u3002\u7ba1\u7406\u56e2\u961f\u5fc5\u987b\u53ca\u65f6\u4e0a\u62a5\u4efb\u4f55\u63d0\u51fa\u7684\u95ee\u9898\u3002.<\/li>\n\n\n\n<li><strong>\u5c61\u6b21\u8fdd\u89c4\u5c06\u53d7\u5230\u66f4\u4e25\u5389\u7684\u5904\u7f5a\uff1a<\/strong> \u5982\u679c\u50cf\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u8fd9\u6837\u7684\u91d1\u878d\u673a\u6784\u4e0d\u89e3\u51b3\u4e4b\u524d\u5b58\u5728\u7684\u95ee\u9898\u6216\u7f3a\u9677\uff0c\u7f8e\u56fd\u76d1\u7ba1\u673a\u6784\u5c06\u52a0\u5927\u5904\u7f5a\u529b\u5ea6\u3002.<\/li>\n<\/ul>\n\n\n\n<h2 class=\"wp-block-heading\">\u63a5\u4e0b\u6765\u4f1a\u53d1\u751f\u4ec0\u4e48\uff1f<\/h2>\n\n\n\n<p>\u745e\u94f6\u91d1\u878d\u670d\u52a1\u516c\u53f8\u9700\u8981\u5b8c\u6210\u4e00\u9879\u72ec\u7acb\u5ba1\u67e5\uff0c\u5e76\u5bf9\u5386\u53f2\u4ea4\u6613\u8fdb\u884c\u56de\u987e\u6027\u5ba1\u67e5\u3002\u56de\u987e\u6027\u5ba1\u67e5\u5c06\u8bc6\u522b\u51fa\u7f3a\u9677\u53ef\u80fd\u9057\u6f0f\u7684\u53ef\u7591\u6d3b\u52a8\u3002\u53cd\u8fc7\u6765\uff0c, <a href=\"https:\/\/citywire.com\/pro-buyer\/news\/ubs-fined-a-combined-125m-by-4-regulators-for-money-laundering-failures\/a2495441\" target=\"_blank\" rel=\"noopener nofollow\" title=\"\">FinCEN\u53ef\u80fd\u4f1a\u8c41\u514d\u9ad8\u8fbe$15M\u7684\u7f5a\u6b3e\u3002<\/a> \u5982\u679c\u745e\u94f6\u5b8c\u6210\u5fc5\u8981\u7684\u884c\u52a8\u5e76\u843d\u5b9e\u5efa\u8bae\uff0c\u90a3\u4e48\u53cd\u590d\u51fa\u73b0\u7684\u53cd\u6d17\u94b1\u6f0f\u6d1e\u4f1a\u5f15\u8d77\u5e7f\u6cdb\u5173\u6ce8\uff0c\u5c24\u5176\u662f\u5728\u4e4b\u524d\u7684\u8865\u6551\u627f\u8bfa\u672a\u80fd\u5c65\u884c\u7684\u60c5\u51b5\u4e0b\u3002.<\/p>\n\n\n\n<figure class=\"wp-block-image size-large\"><a href=\"https:\/\/portal.complycube.com\/signup\"><img decoding=\"async\" width=\"1024\" height=\"577\" src=\"https:\/\/www.complycube.com\/wp-content\/uploads\/2025\/04\/contact-complycube-award-winning-aml-and-kyc-1024x577.png\" alt=\"\u4f7f\u7528 ComplyCube \u5f3a\u5316\u60a8\u7684\u6b3a\u8bc8\u9884\u9632\u548c\u8eab\u4efd\u9a8c\u8bc1\u89e3\u51b3\u65b9\u6848\" class=\"wp-image-24074\" 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