Document Mentions (3 shared documents)

EFTA00239188_sub_003 - EFTA00239188_269

2 mentions1 same-page

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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

d under the Exchange Act and may in the future 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 re

EFTA00237816_sub_003 - EFTA00237816_258

2 mentions1 same-page

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under the Exchange Act and may in the future have a broker-dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds 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 Mut

EFTA00236853_sub_003 - EFTA00236853_258

2 mentions1 same-page

Page ?Same page