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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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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
ailure to comply with these requests by the Monetary Authority may result in substantial fines on the part of the General Partner and may result in the Monetary Authority's applying to the court to have the Master Partnership wound up. The Monetary Authority may take certain actions if it is satisfied that a regulated
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Mutual Connections (126)
Entities connected to both Connecticut Department and the Monetary Authority's
Fannie Mae
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New Hampshire
LOCATION4 w/ Connecticut·3 w/ the
Swiss Federal Banking Commission
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the Financial Advisor's
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Parent Company
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Dept. of
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Back Taxes Payment
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United States
LOCATION4 w/ Connecticut·3 w/ the
UBS Securities LLC
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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
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UBS AG
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UBS Fund
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Lehman Structured Products
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Massachusetts Securities Division
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the North American Securities Administrators Association
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Civil Penalty
ORGANIZATION4 w/ Connecticut·3 w/ the