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Document Mentions (4 shared documents)
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DOJ, the Board of Governors of the Federal Reserve, and the Connecticut Depar
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Sponsored
2 mentions1 same-page
Page ?Same page
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Sponsored
Mutual Connections (127)
Entities connected to both UBS AG and Connecticut Department
Ghislaine Maxwell
PERSON165 w/ UBS·3 w/ Connecticut
United States
LOCATION78 w/ UBS·4 w/ Connecticut
Cayman
LOCATION48 w/ UBS·3 w/ Connecticut
Marc Rich
PERSON44 w/ UBS·3 w/ Connecticut
Samantha Power
PERSON34 w/ UBS·4 w/ Connecticut
JPMorgan Chase
ORGANIZATION22 w/ UBS·3 w/ Connecticut
Department of Justice
ORGANIZATION21 w/ UBS·4 w/ Connecticut
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·4 w/ Connecticut
New York
LOCATION19 w/ UBS·3 w/ Connecticut
Federal Reserve
ORGANIZATION16 w/ UBS·4 w/ Connecticut
UBS Securities LLC
ORGANIZATION14 w/ UBS·4 w/ Connecticut
Internal Revenue Service
ORGANIZATION13 w/ UBS·4 w/ Connecticut
Fannie Mae
ORGANIZATION11 w/ UBS·4 w/ Connecticut
Lehman
ORGANIZATION10 w/ UBS·4 w/ Connecticut
the State of New York
LOCATION11 w/ UBS·2 w/ Connecticut
UBS Fund
ORGANIZATION9 w/ UBS·4 w/ Connecticut
UBS Fund Advisor
ORGANIZATION8 w/ UBS·4 w/ Connecticut
Cease & Desist
ORGANIZATION7 w/ UBS·4 w/ Connecticut
Ernst & Young LLP
ORGANIZATION8 w/ UBS·3 w/ Connecticut
Millennium
ORGANIZATION8 w/ UBS·3 w/ Connecticut