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nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private clients was investigated and the firm was required to cease operating its non-W9 relations
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
2 mentions1 same-page
Page ?Same page
nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
2 mentions1 same-page
Page ?Same page
nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
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Mutual Connections (126)
Entities connected to both Swiss Federal Banking Commission and The Unaffiliated Fund Percentage
Lehman
ORGANIZATION5 w/ Swiss·3 w/ The
New Hampshire
LOCATION5 w/ Swiss·3 w/ The
General State of NY
ORGANIZATION5 w/ Swiss·3 w/ The
Brought
ORGANIZATION5 w/ Swiss·3 w/ The
The Ohio Division of Securities
ORGANIZATION5 w/ Swiss·3 w/ The
Back Taxes Payment
ORGANIZATION5 w/ Swiss·3 w/ The
Fannie Mae
ORGANIZATION5 w/ Swiss·3 w/ The
the Financial Advisor's
ORGANIZATION5 w/ Swiss·3 w/ The
Parent Company
ORGANIZATION5 w/ Swiss·3 w/ The
Dept. of
ORGANIZATION5 w/ Swiss·3 w/ The
UBS Securities LLC
ORGANIZATION5 w/ Swiss·3 w/ The
the Securities and Exchange Commission
ORGANIZATION5 w/ Swiss·3 w/ The
Department of Justice
ORGANIZATION5 w/ Swiss·3 w/ The
New York State
LOCATION5 w/ Swiss·3 w/ The
Internal Revenue Service
ORGANIZATION5 w/ Swiss·3 w/ The
UBS AG
ORGANIZATION5 w/ Swiss·3 w/ The
Federal Reserve
ORGANIZATION5 w/ Swiss·3 w/ The
UBS Fund
ORGANIZATION5 w/ Swiss·3 w/ The
Lehman Structured Products
ORGANIZATION5 w/ Swiss·3 w/ The
Massachusetts Securities Division
ORGANIZATION5 w/ Swiss·3 w/ The