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Document Mentions (4 shared documents)
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
, 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
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
, 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
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
, 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
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
, 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 UBS Fund and the Connecticut Department of Banking
UBS AG
ORGANIZATION9 w/ UBS·4 w/ the
United States
LOCATION8 w/ UBS·4 w/ the
Federal Reserve
ORGANIZATION8 w/ UBS·4 w/ the
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·4 w/ the
Department of Justice
ORGANIZATION7 w/ UBS·4 w/ the
UBS Securities LLC
ORGANIZATION7 w/ UBS·4 w/ the
Fannie Mae
ORGANIZATION7 w/ UBS·4 w/ the
Cease & Desist
ORGANIZATION7 w/ UBS·4 w/ the
Ghislaine Maxwell
PERSON7 w/ UBS·3 w/ the
UBS Fund Advisor
ORGANIZATION6 w/ UBS·4 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·4 w/ the
Civil Penalty
ORGANIZATION5 w/ UBS·4 w/ the
Lehman Structured Products
ORGANIZATION5 w/ UBS·4 w/ the
General State of NY
ORGANIZATION5 w/ UBS·4 w/ the
Brought
ORGANIZATION5 w/ UBS·4 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ UBS·4 w/ the
Back Taxes Payment
ORGANIZATION5 w/ UBS·4 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ UBS·4 w/ the
the Financial Advisor's
ORGANIZATION5 w/ UBS·4 w/ the
Samantha Power
PERSON5 w/ UBS·4 w/ the