Year · 2019
2 documented case files in the register were first recorded in 2019. Each entry links to the court, prosecutor or supervisory source that established it.
| Ref. | Matter | Jurisdiction | Authority | Arose | Last decision | Status |
|---|---|---|---|---|---|---|
| IT-2019-01 | Milan convictions over Monte dei Paschi derivatives are overturned on appeal Banca Monte dei Paschi di Siena S.p.A. | Italy | Tribunal of Milan / Court of Appeal | 8 November 2019 | 6 May 2022 | Convictions overturned on appeal |
| FR-2019-01 | Paris court convicts UBS over cross-border client solicitation; higher courts revise the penalty UBS AG / UBS France | France | Tribunal correctionnel de Paris / Cour de cassation | 20 February 2019 | 15 November 2023 | Conviction confirmed; penalty reassessed |
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Finanstilsynet inspections, FINMA enforcement decisions, federal proceedings and protected disclosures, each linked to its source.
Individuals recorded in Swedish, Icelandic, Danish and Swiss case files, each linked to its source.
Divisions, offices in Stockholm, Gothenburg, Geneva and Zurich, and the VINGA Corporate Bond fund.
Finanstilsynet revocation, issuer bankruptcy, prison sentence, Navigo Invest AB.
Enhanced due diligence controls, names to screen, entities to watchlist.
FINMA, Finansinspektionen, Finanstilsynet and the EU whistleblower channels.
Right of reply and corrections policy for this disclosure.