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Document Mentions (3 shared documents)
2 mentions1 same-page
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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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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Mutual Connections (126)
Entities connected to both UBS Fund and the Monetary Authority's
UBS AG
ORGANIZATION9 w/ UBS·3 w/ the
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·3 w/ the
Federal Reserve
ORGANIZATION8 w/ UBS·3 w/ the
United States
LOCATION8 w/ UBS·3 w/ the
Department of Justice
ORGANIZATION7 w/ UBS·3 w/ the
Cease & Desist
ORGANIZATION7 w/ UBS·3 w/ the
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ the
UBS Securities LLC
ORGANIZATION7 w/ UBS·3 w/ the
Ghislaine Maxwell
PERSON7 w/ UBS·2 w/ the
UBS Fund Advisor
ORGANIZATION6 w/ UBS·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ UBS·3 w/ the
New York State
LOCATION5 w/ UBS·3 w/ the
Internal Revenue Service
ORGANIZATION5 w/ UBS·3 w/ the
Ernst & Young LLP
ORGANIZATION5 w/ UBS·3 w/ the
Samantha Power
PERSON5 w/ UBS·3 w/ the
New Hampshire
LOCATION5 w/ UBS·3 w/ the
Lehman Structured Products
ORGANIZATION5 w/ UBS·3 w/ the
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·3 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ UBS·3 w/ the
Civil Penalty
ORGANIZATION5 w/ UBS·3 w/ the