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Back to data-set-09
EFTA00237720.txt
TXT
33.5 KB
JMail
Extracted Chars
34,205
Entities
38
Relationships
25
Loading extracted text...
Mentioned Entities
38
UBS Fund Advisor, L.L.C.
Organization
Company
4 mentions
Francine F. Hoyt
Person
Executive
2 mentions
UBSFS
Organization
FinancialInstitution
2 mentions
UBS Financial Services Inc.
Organization
Company
2 mentions
UBS AG
Organization
Company
2 mentions
UBS
Organization
Company
2 mentions
Settlement 2012-LIBOR
Settlement
1 mention
UBS USA LLC
Organization
Company
1 mention
UBS AG London
Organization
Company
1 mention
Stacie Yates
Person
Executive
1 mention
Clifford Wattley
Person
Executive
1 mention
Nadia K. Small
Person
Executive
1 mention
Ottavio Roseto
Person
Executive
1 mention
Lauren Rios
Person
Executive
1 mention
Gary Muniz
Person
Executive
1 mention
Kenneth Paglio
Person
Executive
1 mention
Anna Gindes
Person
Executive
1 mention
Jennifer Magro
Person
Executive
1 mention
Lina Rubin
Person
Executive
1 mention
Daryl Dewbrey
Person
Executive
1 mention
Jerry Pascucci
Person
Executive
1 mention
Security and Exchange Commission
Organization
GovernmentAgency
1 mention
Financial Services Authority
Organization
GovernmentAgency
1 mention
UBS Bank USA
Organization
FinancialInstitution
1 mention
US Department of Justice
Organization
GovernmentAgency
1 mention
Swiss Federal Banking Commission
Organization
GovernmentAgency
1 mention
SIX Swiss Exchange Regulation
Organization
GovernmentAgency
1 mention
CFTC
Organization
GovernmentAgency
1 mention
UBS Americas, Inc.
Organization
Company
1 mention
Delaware
Location
1 mention
Financial Market Supervisory Authority
Organization
GovernmentAgency
1 mention
UBS Group AG
Organization
Company
1 mention
2015-03-31
Date
1 mention
2014-12-12
Date
1 mention
United States Securities and Exchange Commission
Organization
GovernmentAgency
1 mention
UBS Securities LLC
Organization
Company
1 mention
Securities and Exchange Commission
Organization
GovernmentAgency
1 mention
New York City
Location
1 mention
Relationships
25
UBS Americas, Inc.
→
financial
→
UBS Fund Advisor, L.L.C.
"It is a wholly owned subsidiary of UBS Americas Inc."
UBS AG
→
financial
→
UBS Americas, Inc.
"UBS Americas Inc., a Delaware corporation, which in turn is a wholly owned subsidiary of UBS AG"
UBS Fund Advisor, L.L.C.
→
financial
→
UBS Financial Services Inc.
"Fund Advisor pays UBSFS up to 90 bps for distribution of the feeder funds."
Jerry Pascucci
→
employment
→
UBS Fund Advisor, L.L.C.
"Jerry Pascucci is the President of Fund Advisor"
Jerry Pascucci
→
employment
→
UBSFS
"Jerry Pascucci is... Managing Director of UBSFS"
Daryl Dewbrey
→
employment
→
UBS Fund Advisor, L.L.C.
"Daryl Dewbrey is... a Vice President of Fund Advisor"
Lina Rubin
→
employment
→
UBS Fund Advisor, L.L.C.
"Lina Rubin is... a Vice President of Fund Advisor"
Jennifer Magro
→
employment
→
UBS Fund Advisor, L.L.C.
"Jennifer Magro is... Vice President. Treasurer and Principal Accounting Officer of Fund Advisor"
Jennifer Magro
→
employment
→
UBSFS
"Jennifer Magro is an Executive Director of UBSFS"
Francine F. Hoyt
→
employment
→
UBS Fund Advisor, L.L.C.
"Francine F. Hoyt is... Chief Compliance Officer for Fund Advisor"
Francine F. Hoyt
→
employment
→
UBSFS
"Francine F. Hoyt is an Executive Director of UBSFS"
UBSFS
→
social
→
UBS Fund Advisor, L.L.C.
"the decision to offer a third party manager on the UBSFS platform is made by Fund Advisor's affiliate, UBSFS"
Francine F. Hoyt
→
employment
→
UBS Financial Services Inc.
"Francine F. Hoyt is an Executive Director of UBSFS"
Francine F. Hoyt
→
employment
→
UBS Fund Advisor, L.L.C.
"Francine F. Hoyt is... Chief Compliance Officer for Fund Advisor"
UBS AG
→
legal
→
US Department of Justice
"On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOJ)"
UBS AG
→
legal
→
Financial Services Authority
"UBS AG entered into settlements with the... UK Financial Services Authority... UBS will pay GBP 160million in fines to the FSA"
UBS AG
→
legal
→
CFTC
"UBS AG entered into settlements with the... Commodity Futures Trading Commission (CFTC)... CFTC: Fine, USD 700 million"
UBS AG
→
legal
→
Financial Market Supervisory Authority
"The Swiss Financial Market Supervisory Authority (FINMA) also issued an order concluding its formal proceedings with respect to UBS... CHF 59 million "
UBS Fund Advisor, L.L.C.
→
legal
→
CFTC
"January 9, 2009 CFTC UBS Fund Advisor LLC violated Sections 6(c) and 6(d) of Commodities Exchange Act... pay a civil penalty Civil Penalty: $50,000"
UBS Group AG
→
financial
→
UBS Americas, Inc.
"UBS AG has a new Group Holding Company, UBS Group AG, that is now the ultimate parent of UBS Americas Inc."
UBS AG London
→
legal
→
Financial Services Authority
"The UBS AG London branch was fined by the FSA for (1) failure to establish and maintain systems and control appropriate to its business"
UBS AG
→
legal
→
Securities and Exchange Commission
"February 2009 SEC and US Department of Justice UBS AG entered into... a Consent Order with the SEC"
UBS Securities LLC
→
social
→
UBSFS
"our affiliate, UBS Securities LLC"
UBS Securities LLC
→
social
→
UBS
"our affiliate, UBS Securities LLC"
UBS Fund Advisor, L.L.C.
→
employment
→
UBS Financial Services Inc.
"Fund Advisor provides all of its advisory or administration services through the efforts of employees of its affiliate, UBSFS... All of Fund Advisor's"
EFTA00237720.txt | Epstein File Explorer