Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 shared documents)
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
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
terminate cross-border business serving private clients out on non SEC registered entities. Disposition: Disgorgement (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The
Sponsored
Mutual Connections (126)
Entities connected to both Anti-Money Laundering Regulations and Back Taxes Payment
Lehman
ORGANIZATION3 w/ Anti-Money·5 w/ Back
New Hampshire
LOCATION3 w/ Anti-Money·5 w/ Back
the Financial Advisor's
ORGANIZATION3 w/ Anti-Money·5 w/ Back
Parent Company
ORGANIZATION3 w/ Anti-Money·5 w/ Back
Dept. of
ORGANIZATION3 w/ Anti-Money·5 w/ Back
Federal Reserve
ORGANIZATION3 w/ Anti-Money·5 w/ Back
Samantha Power
PERSON4 w/ Anti-Money·4 w/ Back
Fannie Mae
ORGANIZATION3 w/ Anti-Money·5 w/ Back
United States
LOCATION4 w/ Anti-Money·4 w/ Back
UBS Securities LLC
ORGANIZATION3 w/ Anti-Money·5 w/ Back
the Securities and Exchange Commission
ORGANIZATION3 w/ Anti-Money·5 w/ Back
Department of Justice
ORGANIZATION3 w/ Anti-Money·5 w/ Back
New York State
LOCATION3 w/ Anti-Money·5 w/ Back
Internal Revenue Service
ORGANIZATION3 w/ Anti-Money·5 w/ Back
UBS AG
ORGANIZATION3 w/ Anti-Money·5 w/ Back
UBS Fund
ORGANIZATION3 w/ Anti-Money·5 w/ Back
Lehman Structured Products
ORGANIZATION3 w/ Anti-Money·5 w/ Back
Massachusetts Securities Division
ORGANIZATION3 w/ Anti-Money·5 w/ Back
the North American Securities Administrators Association
ORGANIZATION3 w/ Anti-Money·5 w/ Back
Civil Penalty
ORGANIZATION3 w/ Anti-Money·5 w/ Back