Epstein Secrets

s license to act as a sales representative on Feb. 2, 2010. UBS AG (Parent Company) 12. Date of Action: May 10, 2004 Entity. UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote transactions with counterparties in jurisdictions subject to U.S. sanctions, and certain f

Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A

7' 1-Itty /2 Date ' The term "financial institution" means (A) a corporation operating under the fifth undesignated paragraph of section 25 of the Federal Reserve Act (12 U.S.C. § 603), commonly known as an agreement corporation"; (8) a corporation organized under section 25A of the Federal Reserve Act (12 U.S.C.

tment Advisers Act of 1940; (xi), a commodity trading advisor subject to regulation under the Commodity Exchange Act; or (xii) any other person that the Commodity Futures Trading Commission has determined to be eligible in light of the financial or other qualifications of the person. B. The undersigned agrees to promptly advise J.P. M

f different from above): The term "financial institution' means (A) a corporation operating under the fifth undesignated paragraph of section 25 of the Federal Reserve Act (12 U.S.C. § 603), commonly known as "an agreement corporation"; (B) a corporation organized under section 25A of the Federal Reserve Act (12 U.S.C.

tment Advisers Act of 1940; (xi), a commodity trading advisor subject to regulation under the Commodity Exchange Act; or (xii) any other person that the Commodity Futures Trading Commission has determined to be eligible in light of the financial or other qualifications of the person. B. The undersigned agrees to promptly advise J.P. M

f different from above): The term "financial institution' means (A) a corporation operating under the fifth undesignated paragraph of section 25 of the Federal Reserve Act (12 U.S.C. § 603), commonly known as "an agreement corporation"; (B) a corporation organized under section 25A of the Federal Reserve Act (12 U.S.C.

tment Advisers Act of 1940; (xi), a commodity trading advisor subject to regulation under the Commodity Exchange Act; or (xii) any other person that the Commodity Futures Trading Commission has determined to be eligible in light of the financial or other qualifications of the person. B. The undersigned agrees to promptly advise J.P. M

equate risk management and control system for this business. Disposition: Injunction 17. Date of Action: May 10, 2004 Entity: UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote transactions with counterparties in jurisdictions subject to U.S. sanctions, and certain f

C Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOD, UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A

equate risk management and control system for this business. Disposition: Injunction 17. Date of Action: May 10, 2004 Entity: UBS AG Brought by: Federal Reserve Bank of New York Details: UBS engaged in U.S. Dollar banknote transactions with counterparties in jurisdictions subject to U.S. sanctions, and certain f

Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A