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Document Mentions (5 shared documents)
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an adequate risk management and control system for this business. Disposition: Injunction 16. Date of Action: December 12, 2012 Brought By. FSA, FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority
Brought By. Securities and Exchange Commission (SEC). Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: violations of
2 mentions1 same-page
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reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOD, UK Financial Services Authority,
Brought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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2 mentions1 same-page
Page ?Same page
reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
2 mentions1 same-page
Page ?Same page
reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: ESA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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Mutual Connections (130)
Entities connected to both Fannie Mae and the North American Securities Administrators Association
Ghislaine Maxwell
PERSON18 w/ Fannie·4 w/ the
United States
LOCATION17 w/ Fannie·4 w/ the
the Securities and Exchange Commission
ORGANIZATION10 w/ Fannie·6 w/ the
UBS AG
ORGANIZATION11 w/ Fannie·5 w/ the
Federal Reserve
ORGANIZATION10 w/ Fannie·5 w/ the
Department of Justice
ORGANIZATION9 w/ Fannie·5 w/ the
Marc Rich
PERSON10 w/ Fannie·3 w/ the
Mohammed bin Salman
PERSON10 w/ Fannie·3 w/ the
UBS Securities LLC
ORGANIZATION7 w/ Fannie·6 w/ the
Cease & Desist
ORGANIZATION7 w/ Fannie·6 w/ the
Internal Revenue Service
ORGANIZATION7 w/ Fannie·6 w/ the
Ernst & Young LLP
ORGANIZATION9 w/ Fannie·3 w/ the
Samantha Power
PERSON8 w/ Fannie·4 w/ the
Dept. of
ORGANIZATION6 w/ Fannie·6 w/ the
UBS Fund
ORGANIZATION7 w/ Fannie·5 w/ the
Lehman Structured Products
ORGANIZATION5 w/ Fannie·6 w/ the
New York State
LOCATION5 w/ Fannie·6 w/ the
Cayman
LOCATION8 w/ Fannie·3 w/ the
New Hampshire
LOCATION5 w/ Fannie·6 w/ the
Lehman
ORGANIZATION5 w/ Fannie·6 w/ the