This document provides information about disciplinary matters related to AlphaKeys Funds, UBS Funds, UBS AG, UBS Fund Advisor LLC, and UBS Financial Services, Inc. It includes details of actions brought by various regulatory bodies such as the CFTC, SEC, DOJ, and others against these entities for violations of financial regulations, with penalties including fines, disgorgement, and cease and desist orders.
documents/EFTA00236788.pdf
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