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te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
e have a broker- dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are required to be registered with, and
2 mentions1 same-page
Page ?Same page
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
nds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are to be registered with, and regulated by, the Cayman Islands Monetary Authority (the "Monetary Authority"). The Master Partnership has submitt
2 mentions1 same-page
Page ?Same page
te of Action: August 22, 2011 Entity: UBS Financial Services, Inc. Brought By: New Hampshire Bureau of Securities Regulation Allegations: UBS sold Lehman Structured Products to clients (specifically referencing three particular investors), who were not made aware of the risks of these products and failed to inform dients
nds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are to be registered with, and regulated by, the Cayman Islands Monetary Authority (the "Monetary Authority"). The Master Partnership has submitt
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Mutual Connections (127)
Entities connected to both Lehman Structured Products and the Mutual Funds Law
New York State
LOCATION6 w/ Lehman·6 w/ the
Lehman
ORGANIZATION6 w/ Lehman·5 w/ the
United States
LOCATION4 w/ Lehman·6 w/ the
Cayman
LOCATION3 w/ Lehman·7 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ Lehman·7 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Lehman·3 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ Lehman·3 w/ the
New Hampshire
LOCATION6 w/ Lehman·3 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ Lehman·3 w/ the
Millennium
ORGANIZATION3 w/ Lehman·6 w/ the
Mohammed bin Salman
PERSON3 w/ Lehman·6 w/ the
England
LOCATION3 w/ Lehman·6 w/ the
the Non-USD Shares
ORGANIZATION3 w/ Lehman·6 w/ the
UBS Securities LLC
ORGANIZATION6 w/ Lehman·3 w/ the
New York
LOCATION3 w/ Lehman·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ Lehman·6 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Lehman·3 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ Lehman·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ Lehman·6 w/ the
Dept. of
ORGANIZATION6 w/ Lehman·3 w/ the