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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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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
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 UBS Securities LLC) agreed to pay a
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 Cease & Desist and the Mutual Funds Law
United States
LOCATION6 w/ Cease·6 w/ the
New York State
LOCATION6 w/ Cease·6 w/ the
the Securities and Exchange Commission
ORGANIZATION8 w/ Cease·3 w/ the
UBS Securities LLC
ORGANIZATION8 w/ Cease·3 w/ the
Lehman
ORGANIZATION6 w/ Cease·5 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ Cease·7 w/ the
UBS AG
ORGANIZATION7 w/ Cease·3 w/ the
Federal Reserve
ORGANIZATION7 w/ Cease·3 w/ the
Cayman
LOCATION3 w/ Cease·7 w/ the
UBS Fund
ORGANIZATION7 w/ Cease·3 w/ the
Ghislaine Maxwell
PERSON6 w/ Cease·4 w/ the
Fannie Mae
ORGANIZATION7 w/ Cease·3 w/ the
Department of Justice
ORGANIZATION7 w/ Cease·3 w/ the
the North American Securities Administrators Association
ORGANIZATION6 w/ Cease·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ Cease·3 w/ the
New Hampshire
LOCATION6 w/ Cease·3 w/ the
Millennium
ORGANIZATION3 w/ Cease·6 w/ the
Mohammed bin Salman
PERSON3 w/ Cease·6 w/ the
England
LOCATION3 w/ Cease·6 w/ the
the Non-USD Shares
ORGANIZATION3 w/ Cease·6 w/ the