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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
d under the Exchange Act and may in the future have a broker- dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are re
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
under the Exchange Act and may in the future have a broker-dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mut
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
under the Exchange Act and may in the future have a broker-dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mut
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Mutual Connections (126)
Entities connected to both Department of Justice and Cayman Islands Mutual Funds Law
United States
LOCATION1,116 w/ Department·3 w/ Cayman
Ghislaine Maxwell
PERSON917 w/ Department·2 w/ Cayman
New York
LOCATION473 w/ Department·4 w/ Cayman
Marc Rich
PERSON295 w/ Department·4 w/ Cayman
Samantha Power
PERSON233 w/ Department·3 w/ Cayman
New York State
LOCATION114 w/ Department·4 w/ Cayman
New Hampshire
LOCATION110 w/ Department·3 w/ Cayman
the Securities and Exchange Commission
ORGANIZATION88 w/ Department·3 w/ Cayman
Federal Reserve
ORGANIZATION63 w/ Department·3 w/ Cayman
Mohammed bin Salman
PERSON56 w/ Department·4 w/ Cayman
Wilmington
LOCATION48 w/ Department·3 w/ Cayman
JPMorgan Chase
ORGANIZATION44 w/ Department·3 w/ Cayman
Tokyo
LOCATION40 w/ Department·3 w/ Cayman
Internal Revenue Service
ORGANIZATION35 w/ Department·3 w/ Cayman
the State of New York
LOCATION25 w/ Department·2 w/ Cayman
UBS AG
ORGANIZATION21 w/ Department·3 w/ Cayman
the U.S. Department of Labor
ORGANIZATION18 w/ Department·3 w/ Cayman
Lehman
ORGANIZATION13 w/ Department·3 w/ Cayman
England
LOCATION9 w/ Department·4 w/ Cayman
Cayman
LOCATION9 w/ Department·4 w/ Cayman