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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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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
o allocated or the Negative Basis of each such Negative Basis Member shall have been eliminated and (ii) to allocate any losses not so allocated to Negative Basis Members to the other Members in such manner as shall equitably reflect the amounts allocated to such Members' Capital Accounts pursuant to Sections 5.3(c)
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Mutual Connections (126)
Entities connected to both Connecticut Department and Negative Basis Members
Fannie Mae
ORGANIZATION4 w/ Connecticut·3 w/ Negative
New Hampshire
LOCATION4 w/ Connecticut·3 w/ Negative
Swiss Federal Banking Commission
ORGANIZATION4 w/ Connecticut·3 w/ Negative
the Financial Advisor's
ORGANIZATION4 w/ Connecticut·3 w/ Negative
Parent Company
ORGANIZATION4 w/ Connecticut·3 w/ Negative
Dept. of
ORGANIZATION4 w/ Connecticut·3 w/ Negative
Back Taxes Payment
ORGANIZATION4 w/ Connecticut·3 w/ Negative
United States
LOCATION4 w/ Connecticut·3 w/ Negative
UBS Securities LLC
ORGANIZATION4 w/ Connecticut·3 w/ Negative
the Securities and Exchange Commission
ORGANIZATION4 w/ Connecticut·3 w/ Negative
Department of Justice
ORGANIZATION4 w/ Connecticut·3 w/ Negative
New York State
LOCATION4 w/ Connecticut·3 w/ Negative
the Connecticut Department of Banking
ORGANIZATION4 w/ Connecticut·3 w/ Negative
Internal Revenue Service
ORGANIZATION4 w/ Connecticut·3 w/ Negative
UBS AG
ORGANIZATION4 w/ Connecticut·3 w/ Negative
UBS Fund
ORGANIZATION4 w/ Connecticut·3 w/ Negative
Lehman Structured Products
ORGANIZATION4 w/ Connecticut·3 w/ Negative
Massachusetts Securities Division
ORGANIZATION4 w/ Connecticut·3 w/ Negative
the North American Securities Administrators Association
ORGANIZATION4 w/ Connecticut·3 w/ Negative
Civil Penalty
ORGANIZATION4 w/ Connecticut·3 w/ Negative