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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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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Mutual Connections (126)
Entities connected to both Anti-Money Laundering Regulations and Cease & Desist
UBS Securities LLC
ORGANIZATION3 w/ Anti-Money·8 w/ Cease
the Securities and Exchange Commission
ORGANIZATION3 w/ Anti-Money·8 w/ Cease
UBS AG
ORGANIZATION3 w/ Anti-Money·7 w/ Cease
Fannie Mae
ORGANIZATION3 w/ Anti-Money·7 w/ Cease
Department of Justice
ORGANIZATION3 w/ Anti-Money·7 w/ Cease
United States
LOCATION4 w/ Anti-Money·6 w/ Cease
UBS Fund
ORGANIZATION3 w/ Anti-Money·7 w/ Cease
Federal Reserve
ORGANIZATION3 w/ Anti-Money·7 w/ Cease
Lehman Structured Products
ORGANIZATION3 w/ Anti-Money·6 w/ Cease
Dept. of
ORGANIZATION3 w/ Anti-Money·6 w/ Cease
New York State
LOCATION3 w/ Anti-Money·6 w/ Cease
Internal Revenue Service
ORGANIZATION3 w/ Anti-Money·6 w/ Cease
New Hampshire
LOCATION3 w/ Anti-Money·6 w/ Cease
Massachusetts Securities Division
ORGANIZATION3 w/ Anti-Money·6 w/ Cease
the North American Securities Administrators Association
ORGANIZATION3 w/ Anti-Money·6 w/ Cease
Lehman
ORGANIZATION3 w/ Anti-Money·6 w/ Cease
Samantha Power
PERSON4 w/ Anti-Money·4 w/ Cease
Civil Penalty
ORGANIZATION3 w/ Anti-Money·5 w/ Cease
General State of NY
ORGANIZATION3 w/ Anti-Money·5 w/ Cease
Brought
ORGANIZATION3 w/ Anti-Money·5 w/ Cease