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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 (00J), UK Financial Services Authority
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so 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 oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so 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 oth
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
follows: (i) to allocate such losses among such Negative Basis Members until either the full amount of such losses shall have been so 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 oth
Entities connected to both Fannie Mae and the Negative Basis

Ghislaine Maxwell
PERSON
United States
LOCATION
UBS AG
ORGANIZATION
Mohammed bin Salman
PERSONthe Securities and Exchange Commission
ORGANIZATION
Federal Reserve
ORGANIZATION
Marc Rich
PERSON
Department of Justice
ORGANIZATIONErnst & Young LLP
ORGANIZATION
Samantha Power
PERSONCayman
LOCATION
Internal Revenue Service
ORGANIZATIONUBS Fund
ORGANIZATIONUBS Securities LLC
ORGANIZATIONCease & Desist
ORGANIZATIONDept. of
ORGANIZATION
New York State
LOCATIONLehman Structured Products
ORGANIZATIONCivil Penalty
ORGANIZATIONGeneral State of NY
ORGANIZATION