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Case File
efta-efta00236102DOJ Data Set 9

UBS Financial Services Inc.

Financial Record

UBS UBS Financial Services Inc. Account Number Client Eligibility Certification: Initial Public Offerings of Equity Securities Account Title Ghislaine Maxwell As a distributor of initial public offerings (IPOs), UBS Financial Services Inc. (the Firm) is subject to regulatory requirements that prohibit the allocation of IPOs of equity securities to accounts owned by certain people. In order for the Firm to determine whether you and all account holders for joint and other multiple-accounts are eligible to receive allocations of IPOs from the Firm, an authorized signatory for your account must be able to make the representation in both Section I AND Section II. If you are unable to check the boxes in Section I and Section II, you will not be eligible to receive IPO allocations from the Firm. In addition, if this Certification form is retumed unsigned or is considered not completed, you will not be eligible to receive IP0 allocations from the Firm. For your convenience, all un

Date
Unknown
Source
DOJ Data Set 9
Reference
EFTA 00236102
Pages
2
Persons
1
Integrity
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