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Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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 Civil Penalty and the Mutual Funds Law
New York State
LOCATION5 w/ Civil·6 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ Civil·7 w/ the
Cayman
LOCATION3 w/ Civil·7 w/ the
United States
LOCATION4 w/ Civil·6 w/ the
Lehman
ORGANIZATION5 w/ Civil·5 w/ the
the Non-USD Shares
ORGANIZATION3 w/ Civil·6 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ Civil·6 w/ the
New York
LOCATION3 w/ Civil·6 w/ the
Millennium
ORGANIZATION3 w/ Civil·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ Civil·6 w/ the
Mohammed bin Salman
PERSON3 w/ Civil·6 w/ the
England
LOCATION3 w/ Civil·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ Civil·6 w/ the
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ the
Brought
ORGANIZATION5 w/ Civil·3 w/ the
General State of NY
ORGANIZATION5 w/ Civil·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ Civil·3 w/ the