Epstein Secrets

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

to supervise. Disposition: Fine Fine: 595,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By. Secretary of State of 47 States and Washington Allegations: Violation of Securities Act regulations regarding research practices and conflicts o

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,

to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict

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

to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli

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

to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington D.C. Allegations: Violation of Securities Act regulations regarding research practices and confli

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

to supervise. Disposition: Fine Fine: $95,000 7. Date of Action: April 28, 2003 — March 19, 2004 Entity: UBS Financial Services and affiliates Brought By: Secretary of State of 47 States and Washington M. Allegations: Violation of Securities Act regulations regarding research practices and conflict