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ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
intended to protect the markets themselves and a firm's public customers, rather than investors in the Master Partnership or in the Feeder Funds. Anti-Money Laundering Regulations The Master Partnership accepts investments only from (i) the Feeder Funds, (ii) entities through which Portfolio Managers and related personnel are
2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
intended to protect the markets themselves and a firm's public customers, rather than investors in the Master Partnership or in the Feeder Funds. Anti-Money Laundering Regulations The Master Partnership accepts investments only from (i) the Feeder Funds, (ii) entities through which Portfolio Managers and related personnel are
2 mentions1 same-page
Page ?Same page
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
intended to protect the markets themselves and a firm's public customers, rather than investors in the Master Partnership or in the Feeder Funds. Anti-Money Laundering Regulations The Master Partnership accepts investments only from (i) the Feeder Funds, (ii) entities through which Portfolio Managers and related personnel are
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Mutual Connections (126)
Entities connected to both UBS Securities LLC and Anti-Money Laundering Regulations
UBS AG
ORGANIZATION14 w/ UBS·3 w/ Anti-Money
United States
LOCATION10 w/ UBS·4 w/ Anti-Money
Federal Reserve
ORGANIZATION10 w/ UBS·3 w/ Anti-Money
the Securities and Exchange Commission
ORGANIZATION9 w/ UBS·3 w/ Anti-Money
Department of Justice
ORGANIZATION8 w/ UBS·3 w/ Anti-Money
Cease & Desist
ORGANIZATION8 w/ UBS·3 w/ Anti-Money
New York State
LOCATION8 w/ UBS·3 w/ Anti-Money
Lehman
ORGANIZATION7 w/ UBS·3 w/ Anti-Money
UBS Fund
ORGANIZATION7 w/ UBS·3 w/ Anti-Money
Brought
ORGANIZATION7 w/ UBS·3 w/ Anti-Money
The Ohio Division of Securities
ORGANIZATION7 w/ UBS·3 w/ Anti-Money
Ghislaine Maxwell
PERSON8 w/ UBS·2 w/ Anti-Money
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ Anti-Money
Internal Revenue Service
ORGANIZATION6 w/ UBS·3 w/ Anti-Money
Dept. of
ORGANIZATION6 w/ UBS·3 w/ Anti-Money
Samantha Power
PERSON5 w/ UBS·4 w/ Anti-Money
the North American Securities Administrators Association
ORGANIZATION6 w/ UBS·3 w/ Anti-Money
New York
LOCATION6 w/ UBS·3 w/ Anti-Money
Lehman Structured Products
ORGANIZATION6 w/ UBS·3 w/ Anti-Money
Massachusetts Securities Division
ORGANIZATION6 w/ UBS·3 w/ Anti-Money