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y Withdrawal Charge shall have the meaning set forth in Section 4.3(c)(ii) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINR4 means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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 Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
2 mentions1 same-page
Page ?Same page
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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 Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
2 mentions1 same-page
Page ?Same page
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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 Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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Mutual Connections (126)
Entities connected to both Administrative Services and Connecticut Department
UBS AG
ORGANIZATION6 w/ Administrative·4 w/ Connecticut
United States
LOCATION6 w/ Administrative·4 w/ Connecticut
Cayman
LOCATION6 w/ Administrative·3 w/ Connecticut
New York
LOCATION6 w/ Administrative·3 w/ Connecticut
Ernst & Young LLP
ORGANIZATION6 w/ Administrative·3 w/ Connecticut
Federal Reserve
ORGANIZATION5 w/ Administrative·4 w/ Connecticut
Millennium
ORGANIZATION6 w/ Administrative·3 w/ Connecticut
UBS Fund
ORGANIZATION4 w/ Administrative·4 w/ Connecticut
the Securities and Exchange Commission
ORGANIZATION4 w/ Administrative·4 w/ Connecticut
AlphaKeys Millennium Fund
ORGANIZATION5 w/ Administrative·3 w/ Connecticut
Related-Party Transactions
ORGANIZATION5 w/ Administrative·3 w/ Connecticut
the U.S. Department of Labor
ORGANIZATION5 w/ Administrative·3 w/ Connecticut
UBS Fund Advisor
ORGANIZATION4 w/ Administrative·4 w/ Connecticut
the Portfolio Managers
ORGANIZATION5 w/ Administrative·2 w/ Connecticut
Department of Justice
ORGANIZATION3 w/ Administrative·4 w/ Connecticut
New York State
LOCATION3 w/ Administrative·4 w/ Connecticut
The Fund's Risk Management Program
ORGANIZATION4 w/ Administrative·3 w/ Connecticut
Internal Revenue Service
ORGANIZATION3 w/ Administrative·4 w/ Connecticut
New Hampshire
LOCATION3 w/ Administrative·4 w/ Connecticut
the Connecticut Department of Banking
ORGANIZATION3 w/ Administrative·4 w/ Connecticut