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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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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Mutual Connections (126)
Entities connected to both Anti-Money Laundering Regulations and Civil Penalty
Lehman
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
New Hampshire
LOCATION3 w/ Anti-Money·5 w/ Civil
the Financial Advisor's
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
Parent Company
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
Dept. of
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
Federal Reserve
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
Samantha Power
PERSON4 w/ Anti-Money·4 w/ Civil
Fannie Mae
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
United States
LOCATION4 w/ Anti-Money·4 w/ Civil
UBS Securities LLC
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
the Securities and Exchange Commission
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
Department of Justice
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
New York State
LOCATION3 w/ Anti-Money·5 w/ Civil
Internal Revenue Service
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
UBS AG
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
UBS Fund
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
Lehman Structured Products
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
Massachusetts Securities Division
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
the North American Securities Administrators Association
ORGANIZATION3 w/ Anti-Money·5 w/ Civil
Cease & Desist
ORGANIZATION3 w/ Anti-Money·5 w/ Civil