HOUSE_OVERSIGHT_025290.jpg
4.22 MB
Extraction Summary
1
People
16
Organizations
25
Locations
0
Events
1
Relationships
4
Quotes
Document Information
Type:
Legal disclaimer / financial report page
File Size:
4.22 MB
Summary
This document is page 43 of a UBS report, specifically the 'Disclaimer' section, dated October 2012 (Version 10/2012). It outlines legal liabilities, regulatory compliance, and distribution restrictions for UBS wealth management research across multiple global jurisdictions, including the Bahamas, US, and UK. The document bears the Bates stamp 'HOUSE_OVERSIGHT_025290', indicating it was produced as evidence for the House Oversight Committee, likely in relation to an investigation involving financial records.
People (1)
| Name | Role | Context |
|---|---|---|
| CIO economists | Economists |
Mentioned in the context of developing Chief Investment Office economic forecasts.
|
Organizations (16)
| Name | Type | Context |
|---|---|---|
| UBS AG |
Parent company/publisher of the report.
|
|
| Wealth Management & Swiss Bank |
Division of UBS AG.
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| Wealth Management Americas |
Division of UBS AG.
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| UBS Wealth Management Australia Ltd |
Distributor in Australia.
|
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| UBS (Bahamas) Ltd |
Distributor in Bahamas.
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| UBS Belgium NV/SA |
Distributor in Belgium.
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| UBS Investment Management Canada Inc. |
Distributor in Canada.
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| UBS (France) S.A. |
Distributor in France.
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| UBS Deutschland AG |
Distributor in Germany.
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| UBS (Italia) S.p.A. |
Distributor in Italy.
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| UBS (Luxembourg) S.A. |
Distributor in Luxembourg.
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| UBS Asesores México, S.A. de C.V. |
Distributor in Mexico.
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| UBS Bank, S.A. |
Distributor in Spain.
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| UBS Securities LLC |
US Subsidiary.
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| UBS Financial Services Inc. |
US Subsidiary.
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| House Oversight Committee |
Implied by the Bates stamp 'HOUSE_OVERSIGHT'.
|
Locations (25)
Relationships (1)
Listed as subsidiary/division in disclaimer text.
Key Quotes (4)
"This publication is for your information only and is not intended as an offer, or a solicitation of an offer, to buy or sell any investment or other specific product."Source
HOUSE_OVERSIGHT_025290.jpg
Quote #1
"UBS expressly prohibits the distribution and transfer of this document to third parties for any reason."Source
HOUSE_OVERSIGHT_025290.jpg
Quote #2
"Bahamas: This publication is distributed to private clients of UBS (Bahamas) Ltd and is not intended for distribution to persons designated as a Bahamian citizen or resident under the Bahamas Exchange Control Regulations."Source
HOUSE_OVERSIGHT_025290.jpg
Quote #3
"USA: This document is not intended for distribution into the US and / or to US persons."Source
HOUSE_OVERSIGHT_025290.jpg
Quote #4
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