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Document Mentions (3 shared documents)
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AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
2 mentions1 same-page
Page ?Same page
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
2 mentions1 same-page
Page ?Same page
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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Mutual Connections (126)
Entities connected to both Connecticut Department and the applicable Portfolio Managers
Fannie Mae
ORGANIZATION4 w/ Connecticut·3 w/ the
New Hampshire
LOCATION4 w/ Connecticut·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION4 w/ Connecticut·3 w/ the
the Financial Advisor's
ORGANIZATION4 w/ Connecticut·3 w/ the
Parent Company
ORGANIZATION4 w/ Connecticut·3 w/ the
Dept. of
ORGANIZATION4 w/ Connecticut·3 w/ the
Back Taxes Payment
ORGANIZATION4 w/ Connecticut·3 w/ the
United States
LOCATION4 w/ Connecticut·3 w/ the
UBS Securities LLC
ORGANIZATION4 w/ Connecticut·3 w/ the
the Securities and Exchange Commission
ORGANIZATION4 w/ Connecticut·3 w/ the
Department of Justice
ORGANIZATION4 w/ Connecticut·3 w/ the
New York State
LOCATION4 w/ Connecticut·3 w/ the
the Connecticut Department of Banking
ORGANIZATION4 w/ Connecticut·3 w/ the
Internal Revenue Service
ORGANIZATION4 w/ Connecticut·3 w/ the
UBS AG
ORGANIZATION4 w/ Connecticut·3 w/ the
UBS Fund
ORGANIZATION4 w/ Connecticut·3 w/ the
Lehman Structured Products
ORGANIZATION4 w/ Connecticut·3 w/ the
Massachusetts Securities Division
ORGANIZATION4 w/ Connecticut·3 w/ the
the North American Securities Administrators Association
ORGANIZATION4 w/ Connecticut·3 w/ the
Civil Penalty
ORGANIZATION4 w/ Connecticut·3 w/ the