3
Shared Docs
3
Same-Page
3 / 3
Mentions
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, t
OF ACQUIRING, HOLDING AND DISPOSING OF INTERESTS, AS WELL AS THE EFFECTS OF TAX LAWS OF THE JURISDICTIONS OF WHICH THEY ARE CITIZENS, RESIDENTS OR DOMICILIARIES OR IN WHICH THEY CONDUCT BUSINESS. There is, at present, no direct taxation in the Cayman Islands and interest, dividends and gains payable to the
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
OF ACQUIRING, HOLDING AND DISPOSING OF INTERESTS, AS WELL AS THE EFFECTS OF TAX LAWS OF THE JURISDICTIONS OF WHICH THEY ARE CITIZENS, RESIDENTS OR DOMICILIARIES OR IN WHICH THEY CONDUCT BUSINESS. There is, at present, no direct taxation in the Cayman Islands and interest, dividends and gains payable to the
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
OF ACQUIRING, HOLDING AND DISPOSING OF INTERESTS, AS WELL AS THE EFFECTS OF TAX LAWS OF THE JURISDICTIONS OF WHICH THEY ARE CITIZENS, RESIDENTS OR DOMICILIARIES OR IN WHICH THEY CONDUCT BUSINESS. There is, at present, no direct taxation in the Cayman Islands and interest, dividends and gains payable to the
Entities connected to both Internal Revenue Service and DOMICILIARIES

United States
LOCATION
Department of Justice
ORGANIZATION
Ghislaine Maxwell
PERSON
Samantha Power
PERSON
Marc Rich
PERSON
New York
LOCATIONthe State of New York
LOCATION
New York State
LOCATIONthe Securities and Exchange Commission
ORGANIZATION
UBS AG
ORGANIZATION
Federal Reserve
ORGANIZATION
New Hampshire
LOCATIONLehman
ORGANIZATION
Wilmington
LOCATION
Fannie Mae
ORGANIZATIONthe Delaware Limited Liability Company Act
ORGANIZATIONDept. of
ORGANIZATIONMassachusetts Securities Division
ORGANIZATIONLehman Structured Products
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION