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lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC 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
y Withdrawal Charge shall have the meaning set forth in Section 4.3(c)(ii) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINR4 means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
2 mentions1 same-page
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lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC 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
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
2 mentions1 same-page
Page ?Same page
lion 13. Date of Action: December 12, 2012 Brought By: ESA. FINMA, CFTC 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
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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Entities connected to both Department of Justice and Administrative Services
United States
LOCATION1,116 w/ Department·6 w/ Administrative
Ghislaine Maxwell
PERSON917 w/ Department·4 w/ Administrative
New York
LOCATION473 w/ Department·6 w/ Administrative
Marc Rich
PERSON295 w/ Department·3 w/ Administrative
Samantha Power
PERSON233 w/ Department·3 w/ Administrative
Philadelphia
LOCATION189 w/ Department·2 w/ Administrative
New York State
LOCATION114 w/ Department·3 w/ Administrative
New Hampshire
LOCATION110 w/ Department·3 w/ Administrative
U.S. Treasury
ORGANIZATION101 w/ Department·3 w/ Administrative
the Securities and Exchange Commission
ORGANIZATION88 w/ Department·4 w/ Administrative
the District of Columbia
LOCATION80 w/ Department·3 w/ Administrative
the Internal Revenue Service
ORGANIZATION77 w/ Department·3 w/ Administrative
Federal Reserve
ORGANIZATION63 w/ Department·5 w/ Administrative
Mohammed bin Salman
PERSON56 w/ Department·3 w/ Administrative
Wilmington
LOCATION48 w/ Department·3 w/ Administrative
JPMorgan Chase
ORGANIZATION44 w/ Department·3 w/ Administrative
Tokyo
LOCATION40 w/ Department·3 w/ Administrative
Internal Revenue Service
ORGANIZATION35 w/ Department·3 w/ Administrative
the State of New York
LOCATION25 w/ Department·3 w/ Administrative
UBS AG
ORGANIZATION21 w/ Department·6 w/ Administrative