EFTA00271042Set 9
30p17,166w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ('Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA,,is an FDIC-member bank
Fund.
affiliate ... prospectus only and may lose value.
UBSAG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%209/EFTA00271042.pdf
EFTA00271154Set 9
26p14,341w
Bank Sweep Programs. Eligibility is based primarily upon the USA,,is an FDIC-member bank
type of client. Most non-business clients and employee benefit plans qualified under affiliate ... branch of
Program. In cases where a participant in a Plan has established a Securities Account for UBSAG, a Swiss Bank that is the
purposes of participation in the Plan ... Plan Participant will be parent of UBS Financial Services Inc.
eligible for the Deposit Program. Most business clients are eligible for the Business and UBS Financial Services
Program. Incorporated
https://www.justice.gov/epstein/files/DataSet%209/EFTA00271154.pdf
EFTA00271180Set 9
24p14,377w
Bank Sweep Programs. Eligibility is based primarily upon the USA,,is an FDIC-member bank
type of client. Most non-business clients and employee benefit plans qualified under affiliate ... branch of
Program. In cases where a participant in a Plan has established a Securities Account for UBSAG, a Swiss Bank that is the
purposes of participation in the Plan ... Plan Participant will be parent of UBS Financial Services Inc.
eligible for the Deposit Program. Most business clients are eligible for the Business and UBS Financial Services
Program. Incorporated
https://www.justice.gov/epstein/files/DataSet%209/EFTA00271180.pdf
EFTA01597187Set 10
26p14,466w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ("Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA,,is an FDIC-member bank
Fund.
affiliate ... prospectus only and may lose value.
UBSAG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01597187.pdf
EFTA01597159Set 10
28p15,476w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ("Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA,,is an FDIC-member bank
Fund.
affiliate ... prospectus only and may lose value.
UBSAG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01597159.pdf
EFTA01090698Set 9
2009-02-1811p4,196w
Target Letters for Swiss
Banks, issued on August 29, 2013 (the "Swiss Bank Program").
3 Of the 161 U.S. client accounts at Edmond de Rothschild (I.uganol SA. g$
accounts with ... evidence of participation in an OVDP.
EDR SWITZERLAND'S COOPERATION
THROUGHOUT THE SWISS BANK PROGRAM
3& 3-7rIn December 2013, EdR Switzerland entered into the Department of Justice ... Swiss Bank Program as a Category 2 bank.
a 38rSince 2013, EdR Switzerland has cooperated with the Department of Justice to
comply with the Swiss Bank Program. At the outset
https://www.justice.gov/epstein/files/DataSet%209/EFTA01090698.pdf
EFTA00078337Set 9
46p19,984w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ("Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA"),is an FDIC-member bank
Fund.
affiliate ... only and may lose value.
UBS AG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%209/EFTA00078337.pdf
EFTA00590334Set 9
2015-12-107p3,064w
Edmond de Rothschild (Suisse) SA
Edmond de Rothschidl (Lugano) SA
DOJ Swiss Bank Program — Category 2
Non-Prosecution Agreement
Dear Ms. Ruemmler and Mr. Clark:
Banque Privee Edmond de Rothschild ... Target Letters for Swiss Banks, as announced on August 29, 2013 (hereafter
"Swiss Bank Program"). Since submitting their respective letters, the banks have changed their
names to Edmond de Rothschild ... Switzerland" or the "Bank") and joined
for the purposes of the Swiss Bank Program. This Non-Prosecution Agreement ("Agreement") is
entered into based on the representations in the aforementioned Letters
https://www.justice.gov/epstein/files/DataSet%209/EFTA00590334.pdf
EFTA00271128Set 9
26p14,365w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ('Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA,,is an FDIC-member bank
Fund.
affiliate ... prospectus only and may lose value.
UBSAG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%209/EFTA00271128.pdf
EFTA01597009Set 10
46p19,935w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ("Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA,,is an FDIC-member bank
Fund.
affiliate ... prospectus only and may lose value.
UBSAG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01597009.pdf
EFTA01597213Set 10
26p14,421w
Bank Sweep Programs. Eligibility is based primarily upon the USA,,is an FDIC-member bank
type of client. Most non-business clients and employee benefit plans qualified under affiliate ... branch of
Program. In cases where a participant in a Plan has established a Securities Account for UBSAG, a Swiss Bank that is the
purposes of participation in the Plan ... Plan Participant will be parent of UBS Financial Services Inc.
eligible for the Deposit Program. Most business clients are eligible for the Business and UBS Financial Services
Program. Incorporated
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01597213.pdf
EFTA01324812Set 10
2014-02-1246p19,836w
without limit to your Secondary Sweep Option. fulfr described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UM Bank USA (Member FDIC) ("Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep USA ),is an FDIC-member bank
Fund.
affiliate ... branch of
UBS AG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial Services Inc
withdrawal
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01324812.pdf
EFTA01597131Set 10
28p16,556w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ("Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA,,is an FDIC-member bank
Fund.
affiliate ... prospectus only and may lose value.
UBSAG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01597131.pdf
EFTA01597055Set 10
46p19,958w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ("Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA,,is an FDIC-member bank
Fund.
affiliate ... prospectus only and may lose value.
UBSAG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01597055.pdf
EFTA02348188Set 11
2015-03-304p1,442w
Lugano, Switzerland, is First Bank to Reach Resolution=Under Justice Department's Swiss Bank Program=/p>
The Department of Justice announced today ... first
bank to reach a resolution under the Department of JusticeQ=804*s Swiss Bank Program
chttp://www.justice.gov/tax/2013/txdv13975.htm> .<=span>
"Because of the department'= continuing efforts to root out offshore ... today than they did just a few years ago, and the departm=nes Swiss Banking Program is a big part of that
change," =aid Acting Deputy Attorney General Sally Quillian
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02348188.pdf
EFTA00271100Set 9
28p15,359w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ('Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA,,is an FDIC-member bank
Fund.
affiliate ... prospectus only and may lose value.
UBSAG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%209/EFTA00271100.pdf
EFTA00608962Set 9
2015-03-064p1,559w
March 6, 2015
Via e-mail
Counsel for Category 2 Swiss Banks
Re: Swiss Bank Program penalty reductions under Part II.H
Dear Counsel:
We have received inquiries from a number ... considering the banks'
submissions with respect to the computation of penalties under the Swiss Bank Program. We are
writing now to provide you with a description of the guidance ... make any comments, you do so on
or before March 13, 2015.
The Swiss Bank Program allows Category 2 banks to reduce the Swiss Bank Program
penalty in three ways
https://www.justice.gov/epstein/files/DataSet%209/EFTA00608962.pdf
EFTA00078532Set 9
46p19,969w
without limit to your Secondary Sweep Option. fully described in the UBS Bank
Sweep Programs Disclosure
Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement ... Branch; instead UBS Bank USA (Member FDIC) ("Bank
the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep
USA"),is an FDIC-member bank
Fund.
affiliate ... only and may lose value.
UBS AG, a Swiss Bank that is the
Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial
https://www.justice.gov/epstein/files/DataSet%209/EFTA00078532.pdf