UB Securities Ltd

• LiftedFinanssivalvonta (FSA)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  14 Jun 2012

  Reason given

  Finanssivalvonta antoi julkisen huomautuksen ja määräsi rikemaksun UB Securities Oy:lle Finanssivalvonta on antanut UB Securities Oy:lle julkisen huomautuksen laiminlyönneistä, jotka koskevat sijoituspalveluyrityksen luotettavan hallinnon sekä sisäisen valvonnan ja riskienhallinnan järjestämistä. Yhtiölle on lisäksi määrätty 10 000 euron rikemaksu kaupparaportointiin liittyvien säännösten laiminlyönneistä. Finanssivalvonta havaitsi laiminlyönnit syksyllä 2011 tekemässään tarkastuksessa, jonka kohteena oli toimeksiantojen huolellinen toteuttaminen (best execution) ja kaupparaportointi. Julkinen huomautus mm. luotettavan hallinnon järjestämistä koskevista laiminlyönneistä UB Securities Oy:n luotettavan hallinnon sekä sisäisen valvonnan ja riskienhallinnan järjestämisessä havaittiin tarkastuksessa useita laiminlyöntejä. Yhtiöllä ei muun muassa ollut tarkastuksen kohteena olleilta osa-alueilta joko lainkaan sisäisiä ohjeita tai ohjeet olivat puutteelliset. Laiminlyöntejä osoitti osaltaan muun muassa myös se, että kaikilta asiakkailta ei ollut pyydetty nimenomaista suostumusta kauppojen toteuttamiseen julkisen tai monenkeskisen kaupankäynnin ulkopuolella. Myöskään yhtiön nykyisen sidonnaisasiamiehen kanssa ei ollut tehty lain edellyttämää kirjallista sopimusta eikä asiamiehen valvontaa ollut järjestetty riittävällä tavalla. Luotettavan hallinnon, sisäisen valvonnan ja riskienhallinnan järjestämisessä havaittujen laiminlyöntien osalta Finanssivalvonnan käytettävissä olevia hallinnollisia sanktioita ovat julkinen huomautus ja julkinen varoitus. Rikemaksu kaupparaportoinnin puutteista Kaupparaportoinnin tarkastuksessa Finanssivalvonta havaitsi, että yhtiö oli jättänyt pitkältä ajalta raportoimatta Finanssivalvonnalle joukkovelkakirjoilla ja johdannaissopimuksilla toteuttamiaan liiketoimia. Finanssivalvonta oli jo aiemmin kiinnittänyt yhtiön huomiota joukkovelkakirjojen raportointiin. Myös yhtiön raportoimien tietojen oikeellisuudessa havaittiin virheitä. Kaupparaportoinnin laiminlyönnin osalta Finanssivalvonnan käytettävissä oleva sanktio on rikemaksu, joka määrätään maksettavaksi valtiolle. Rikemaksun enimmäismäärä on 10 000 euroa. Julkinen huomautus ja rikemaksu eivät ole lainvoimaisia. Yhtiöllä on oikeus valittaa Helsingin hallinto-oikeuteen 14.6.2012 annetuista päätöksistä 30 päivän aikana siitä, kun yhtiö on saanut päätöksistä tiedon. [original (Finnish)] Financial Supervisory Authority issues public reprimand and imposes administrative fine on UB Securities Ltd. The Financial Supervisory Authority (FIN-FSA) has issued a public reprimand to UB Securities Ltd in respect of omissions in the organisation of sound corporate governance, internal control and risk management of investment firms. FIN-FSA has ordered the company to pay an administrative fine of EUR 10,000 for negligence of transaction-reporting regulations. FIN-FSA became aware of the omissions during an inspection in autumn 2011, which focused on best execution and transaction reporting. Public reprimand for omissions regarding eg organisation of sound corporate governance FIN-FSA identified during the inspection several omissions in UB Securities Ltd's sound corporate governance, internal control and risk management arrangements. For example, UB Securities Ltd did not have internal guidelines for certain areas subject to the inspection, or the guidelines were inadequate. Another indicator of negligence was that not all customers had been requested to give express consent for the execution of transactions outside public or multilateral trading. Moreover, UB Securities Ltd had failed to sign a written agreement with its current tied agent, as required by law, and the supervision arrangements related to the agent were insufficient. In connection with the identified omissions regarding the arrangement of sound corporate governance, internal control and risk management, the administrative sanctions available to FIN-FSA are public reprimand and public warning. Administrative fine for deficiencies in transaction reporting In the course of the inspection of transaction reporting, FIN-FSA became aware that UB Securities Ltd had over a long period failed to report to FIN-FSA business transactions involving bonds and derivatives. FIN-FSA had already on a prior occassion drawn the company's attention to reporting on bonds. Deficiencies were also found in the accuracy of the data reported by the company. The sanction available to FIN-FSA in respect of negligence of transaction reporting is the administrative fine, to be paid to the State. The maximum amount of the administrative fine is EUR 10,000. The public reprimand and administrative fine do not have legal force. The company has the right to appeal the decisions adopted on 14 June 2012 to the Helsinki Administrative Court within 30 days of the company’s receipt of notice of said decisions.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn3640)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  3640

• In forceFinanssivalvonta (FSA)

  MiFID

  In this state since

  12 Sept 2026

  Designated

  14 Jun 2012

  Reason given

  Finanssivalvonta antoi julkisen huomautuksen ja määräsi rikemaksun UB Securities Oy:lle Finanssivalvonta on antanut UB Securities Oy:lle julkisen huomautuksen laiminlyönneistä, jotka koskevat sijoituspalveluyrityksen luotettavan hallinnon sekä sisäisen valvonnan ja riskienhallinnan järjestämistä. Yhtiölle on lisäksi määrätty 10 000 euron rikemaksu kaupparaportointiin liittyvien säännösten laiminlyönneistä. Finanssivalvonta havaitsi laiminlyönnit syksyllä 2011 tekemässään tarkastuksessa, jonka kohteena oli toimeksiantojen huolellinen toteuttaminen (best execution) ja kaupparaportointi. Julkinen huomautus mm. luotettavan hallinnon järjestämistä koskevista laiminlyönneistä UB Securities Oy:n luotettavan hallinnon sekä sisäisen valvonnan ja riskienhallinnan järjestämisessä havaittiin tarkastuksessa useita laiminlyöntejä. Yhtiöllä ei muun muassa ollut tarkastuksen kohteena olleilta osa-alueilta joko lainkaan sisäisiä ohjeita tai ohjeet olivat puutteelliset. Laiminlyöntejä osoitti osaltaan muun muassa myös se, että kaikilta asiakkailta ei ollut pyydetty nimenomaista suostumusta kauppojen toteuttamiseen julkisen tai monenkeskisen kaupankäynnin ulkopuolella. Myöskään yhtiön nykyisen sidonnaisasiamiehen kanssa ei ollut tehty lain edellyttämää kirjallista sopimusta eikä asiamiehen valvontaa ollut järjestetty riittävällä tavalla. Luotettavan hallinnon, sisäisen valvonnan ja riskienhallinnan järjestämisessä havaittujen laiminlyöntien osalta Finanssivalvonnan käytettävissä olevia hallinnollisia sanktioita ovat julkinen huomautus ja julkinen varoitus. Rikemaksu kaupparaportoinnin puutteista Kaupparaportoinnin tarkastuksessa Finanssivalvonta havaitsi, että yhtiö oli jättänyt pitkältä ajalta raportoimatta Finanssivalvonnalle joukkovelkakirjoilla ja johdannaissopimuksilla toteuttamiaan liiketoimia. Finanssivalvonta oli jo aiemmin kiinnittänyt yhtiön huomiota joukkovelkakirjojen raportointiin. Myös yhtiön raportoimien tietojen oikeellisuudessa havaittiin virheitä. Kaupparaportoinnin laiminlyönnin osalta Finanssivalvonnan käytettävissä oleva sanktio on rikemaksu, joka määrätään maksettavaksi valtiolle. Rikemaksun enimmäismäärä on 10 000 euroa. Julkinen huomautus ja rikemaksu eivät ole lainvoimaisia. Yhtiöllä on oikeus valittaa Helsingin hallinto-oikeuteen 14.6.2012 annetuista päätöksistä 30 päivän aikana siitä, kun yhtiö on saanut päätöksistä tiedon. [original (Finnish)] Financial Supervisory Authority issues public reprimand and imposes administrative fine on UB Securities Ltd. The Financial Supervisory Authority (FIN-FSA) has issued a public reprimand to UB Securities Ltd in respect of omissions in the organisation of sound corporate governance, internal control and risk management of investment firms. FIN-FSA has ordered the company to pay an administrative fine of EUR 10,000 for negligence of transaction-reporting regulations. FIN-FSA became aware of the omissions during an inspection in autumn 2011, which focused on best execution and transaction reporting. Public reprimand for omissions regarding eg organisation of sound corporate governance FIN-FSA identified during the inspection several omissions in UB Securities Ltd's sound corporate governance, internal control and risk management arrangements. For example, UB Securities Ltd did not have internal guidelines for certain areas subject to the inspection, or the guidelines were inadequate. Another indicator of negligence was that not all customers had been requested to give express consent for the execution of transactions outside public or multilateral trading. Moreover, UB Securities Ltd had failed to sign a written agreement with its current tied agent, as required by law, and the supervision arrangements related to the agent were insufficient. In connection with the identified omissions regarding the arrangement of sound corporate governance, internal control and risk management, the administrative sanctions available to FIN-FSA are public reprimand and public warning. Administrative fine for deficiencies in transaction reporting In the course of the inspection of transaction reporting, FIN-FSA became aware that UB Securities Ltd had over a long period failed to report to FIN-FSA business transactions involving bonds and derivatives. FIN-FSA had already on a prior occassion drawn the company's attention to reporting on bonds. Deficiencies were also found in the accuracy of the data reported by the company. The sanction available to FIN-FSA in respect of negligence of transaction reporting is the administrative fine, to be paid to the State. The maximum amount of the administrative fine is EUR 10,000. The public reprimand and administrative fine do not have legal force. The company has the right to appeal the decisions adopted on 14 June 2012 to the Helsinki Administrative Court within 30 days of the company’s receipt of notice of said decisions.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn3640)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  3640

No ownership verdict was on file for this company on 25 October 2026.

As recorded by the assessment reading taken on 19 September 2026, 12:00 UTC, the newest on or before the date. Only “checked, not found” means a source was read in full and held nothing for the company.

Where the company is registered or connected

• FI: registered here; holds a register number issued here

  Registers read here: Finland PRH YTJ Register. No register here states who owns this jurisdiction's companies, so an ownership chain reaching one stops.

• No read on or before 25 October 2026 is recorded for one source behind this file (Finland PRH YTJ Register), so the version of what was read from it cannot be given.
• Whether each listing was in force is rebuilt from what was recorded here: when it was first read, when a source stopped or resumed carrying it, and when its published term ended. A listing in force at an authority before this system first read it is shown from that first read.
• No ownership verdict is kept for this company. Verdicts are kept for companies registered where shareholders are read here: Estonia, Latvia and Poland.

For each source behind this file, the newest read made on or before the date: the version of it that stood.

• Australia DFAT Consolidated List

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 3,650 records read.

• Brazil CEIS (national procurement exclusions)

  Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here. 23,804 records read.

• Brazil MTE employer register (lista suja)

  Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here. 508 records read.

• Brazil TCU (firms declared inidôneas)

  Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here. 94 records read.

• Canada Consolidated Autonomous Sanctions List

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 5,708 records read.

• EBRD Ineligible Entities

  Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here. 1,278 records read.

• ESMA Sanctions Register

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 845 records read.

• EU Consolidated Sanctions List

  Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read. 6,234 records read. Publisher's version: globalFileId 185699.

• France AMF blacklist of unauthorised actors

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 2,574 records read.

• IDB Sanctioned Firms and Individuals

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 530 records read.

• Japan MOF Sanctions List

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 2,900 records read.

• Latvia FID frozen assets register

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 183 records read.

• Malaysia BNM financial consumer alert list

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 588 records read.

• Malaysia SC investor alert list

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 1,795 records read.

• New Zealand Russia Sanctions Register

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 529 records read.

• Norges Bank (fund exclusions and observation)

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 201 records read.

• OFAC Consolidated (non-SDN)

  Read on 19 October 2026. The publisher dates the file 14 September 2026, 35 days before it was read. 481 records read.

• OFAC SDN

  Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read. 17,556 records read.

• Poland MSWiA sanctions list

  Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here. 131 records read.

• SAM.gov Exclusions (US federal)

  Read on 24 October 2026. No date from the publisher is read for this file, so its age is not known here. 10,194 records read.

• Slovenia KPK business restrictions

  Read on 15 October 2026. No date from the publisher is read for this file, so its age is not known here. 4,351 records read.

• Swiss FINMA warning list

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 2,372 records read.

• Switzerland SECO Sanctions List

  Read on 19 October 2026. The publisher dates the file 15 October 2026, 4 days before it was read. 7,040 records read.

• Taiwan SHTC export entity list

  Read on 21 October 2026. No date from the publisher is read for this file, so its age is not known here. 11,664 records read.

• Türkiye MASAK asset freezes

  Read on 22 October 2026. No date from the publisher is read for this file, so its age is not known here. 2,304 records read.

• UK OFSI Consolidated List

  Read on 8 October 2026. The file carries no date of its own; its newest record is dated 3 June 2026, 127 days before it was read. Newest designation in the file: 2025-12-19. 5,120 records read.

• UK Sanctions List (FCDO)

  Read on 19 October 2026. The publisher dates the file 16 October 2026, 3 days before it was read. 5,705 records read.

• UN Security Council Consolidated List

  Read on 19 October 2026. The publisher dates the file 17 October 2026, 2 days before it was read. 1,010 records read.

• US CBP forced-labour orders (WRO & Findings)

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 63 records read.

• US Consolidated Screening List

  Read on 19 October 2026. No date from the publisher is read for this file, so its age is not known here. 6,474 records read.

• US UFLPA Entity List

  Read on 20 October 2026. No date from the publisher is read for this file, so its age is not known here. 205 records read.

• World Bank Listing of Ineligible Firms and Individuals

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 1,539 records read.

Taken

19 September 2026, 12:00 UTC

Methodology

Version 4

Level

Medium

Score recorded

60 of 100

Digest

3604418ae0e1a4d0c109e192134a894758eedc2cA fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.

Reading id

9cda4fa7-c853-43ab-b2de-0861df253ad9

Address

https://apolika.com/entities/0e258bf0-4098-407c-806f-1f64a9557fb4/evidence?as_of=2026-10-25The same address gives the same day's file tomorrow. What was recorded after the date is not in it.

As data

https://apolika.com/api/entities/0e258bf0-4098-407c-806f-1f64a9557fb4/evidence?as_of=2026-10-25T02%3A40%3A44.696Z

Made

25 October 2026, 02:40 UTC