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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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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
s of 50% (or such other specified percentage) of the aggregate Capital Account balances of all Members. Majority (or other specified percentage) in Unaffiliated Interest means, as of any date, one or more Unaffiliated Members that then in the aggregate have Unaffiliated Fund Percentages in excess of 50% (or such oth
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Mutual Connections (126)
Entities connected to both UBS Fund and Unaffiliated Interest
UBS AG
ORGANIZATION9 w/ UBS·3 w/ Unaffiliated
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·3 w/ Unaffiliated
Federal Reserve
ORGANIZATION8 w/ UBS·3 w/ Unaffiliated
United States
LOCATION8 w/ UBS·3 w/ Unaffiliated
Department of Justice
ORGANIZATION7 w/ UBS·3 w/ Unaffiliated
Cease & Desist
ORGANIZATION7 w/ UBS·3 w/ Unaffiliated
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ Unaffiliated
UBS Securities LLC
ORGANIZATION7 w/ UBS·3 w/ Unaffiliated
Ghislaine Maxwell
PERSON7 w/ UBS·2 w/ Unaffiliated
UBS Fund Advisor
ORGANIZATION6 w/ UBS·3 w/ Unaffiliated
Swiss Federal Banking Commission
ORGANIZATION5 w/ UBS·3 w/ Unaffiliated
New York State
LOCATION5 w/ UBS·3 w/ Unaffiliated
Internal Revenue Service
ORGANIZATION5 w/ UBS·3 w/ Unaffiliated
Ernst & Young LLP
ORGANIZATION5 w/ UBS·3 w/ Unaffiliated
Samantha Power
PERSON5 w/ UBS·3 w/ Unaffiliated
New Hampshire
LOCATION5 w/ UBS·3 w/ Unaffiliated
Lehman Structured Products
ORGANIZATION5 w/ UBS·3 w/ Unaffiliated
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·3 w/ Unaffiliated
the North American Securities Administrators Association
ORGANIZATION5 w/ UBS·3 w/ Unaffiliated
Civil Penalty
ORGANIZATION5 w/ UBS·3 w/ Unaffiliated