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es person license. ER30 378-MAXWELL Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002087 EFTA00237718 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (DO;), the Board of Governors of the Federal Reserve, Connecticut Departm
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
2 mentions1 same-page
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se. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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se. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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2 mentions1 same-page
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s person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
, and the Connecticut Department of Banking in connection with their investigations of the global foreign exchange markets. The Federal Reserve and the Connecticut Department of Banking jointly issued an order finding that UBS AG engaged in unsafe and unsound banking practices related to its FX business. Pursuant to the terms of the
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Mutual Connections (127)
Entities connected to both Parent Company and the Connecticut Department of Banking
Department of Justice
ORGANIZATION8 w/ Parent·4 w/ the
New Hampshire
LOCATION7 w/ Parent·4 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Parent·4 w/ the
Federal Reserve
ORGANIZATION6 w/ Parent·4 w/ the
United States
LOCATION6 w/ Parent·4 w/ the
UBS Securities LLC
ORGANIZATION5 w/ Parent·4 w/ the
Lehman
ORGANIZATION5 w/ Parent·4 w/ the
New York State
LOCATION5 w/ Parent·4 w/ the
UBS Fund
ORGANIZATION5 w/ Parent·4 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Parent·4 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ Parent·4 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ Parent·4 w/ the
Civil Penalty
ORGANIZATION5 w/ Parent·4 w/ the
Cease & Desist
ORGANIZATION5 w/ Parent·4 w/ the
General State of NY
ORGANIZATION5 w/ Parent·4 w/ the
Brought
ORGANIZATION5 w/ Parent·4 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Parent·4 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Parent·4 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Parent·4 w/ the
Dept. of
ORGANIZATION5 w/ Parent·4 w/ the