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the Commodity Futures Trading Commission
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION3
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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
Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
2 mentions1 same-page
Page ?Same page
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
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
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
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (48)
Entities connected to both the Commodity Futures Trading Commission and the North American Securities Administrators Association
United States
LOCATION11 w/ the·4 w/ the
Ghislaine Maxwell
PERSON9 w/ the·4 w/ the
Samantha Power
PERSON8 w/ the·4 w/ the
New York State
LOCATION5 w/ the·6 w/ the
Lehman
ORGANIZATION5 w/ the·6 w/ the
Federal Reserve
ORGANIZATION6 w/ the·5 w/ the
Internal Revenue Service
ORGANIZATION5 w/ the·6 w/ the
the Securities and Exchange Commission
ORGANIZATION4 w/ the·6 w/ the
Massachusetts Securities Division
ORGANIZATION3 w/ the·6 w/ the
New Hampshire
LOCATION3 w/ the·6 w/ the
UBS Securities LLC
ORGANIZATION3 w/ the·6 w/ the
Department of Justice
ORGANIZATION4 w/ the·5 w/ the
Dept. of
ORGANIZATION3 w/ the·6 w/ the
Lehman Structured Products
ORGANIZATION3 w/ the·6 w/ the
Cease & Desist
ORGANIZATION3 w/ the·6 w/ the
UBS Fund
ORGANIZATION3 w/ the·5 w/ the
Fannie Mae
ORGANIZATION3 w/ the·5 w/ the
UBS AG
ORGANIZATION3 w/ the·5 w/ the
Civil Penalty
ORGANIZATION3 w/ the·5 w/ the
New York
LOCATION5 w/ the·3 w/ the