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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
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
2 mentions1 same-page
Page ?Same page
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
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
2 mentions1 same-page
Page ?Same page
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
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
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Mutual Connections (126)
Entities connected to both Anti-Money Laundering Regulations and Lehman Structured Products
New York State
LOCATION3 w/ Anti-Money·6 w/ Lehman
Cease & Desist
ORGANIZATION3 w/ Anti-Money·6 w/ Lehman
Internal Revenue Service
ORGANIZATION3 w/ Anti-Money·6 w/ Lehman
Lehman
ORGANIZATION3 w/ Anti-Money·6 w/ Lehman
New Hampshire
LOCATION3 w/ Anti-Money·6 w/ Lehman
Massachusetts Securities Division
ORGANIZATION3 w/ Anti-Money·6 w/ Lehman
the North American Securities Administrators Association
ORGANIZATION3 w/ Anti-Money·6 w/ Lehman
UBS Securities LLC
ORGANIZATION3 w/ Anti-Money·6 w/ Lehman
the Securities and Exchange Commission
ORGANIZATION3 w/ Anti-Money·6 w/ Lehman
Dept. of
ORGANIZATION3 w/ Anti-Money·6 w/ Lehman
UBS Fund
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman
the Financial Advisor's
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman
Parent Company
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman
United States
LOCATION4 w/ Anti-Money·4 w/ Lehman
Department of Justice
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman
UBS AG
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman
Fannie Mae
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman
Civil Penalty
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman
Swiss Federal Banking Commission
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman
Federal Reserve
ORGANIZATION3 w/ Anti-Money·5 w/ Lehman