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nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
2 mentions1 same-page
Page ?Same page
nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
2 mentions1 same-page
Page ?Same page
nd restitution of 4.3 million; States: $70.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators A
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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Mutual Connections (126)
Entities connected to both the Securities and Exchange Commission and Legal and Ethics Oversight
United States
LOCATION154 w/ the·3 w/ Legal
Department of Justice
ORGANIZATION88 w/ the·3 w/ Legal
Samantha Power
PERSON87 w/ the·3 w/ Legal
Ghislaine Maxwell
PERSON57 w/ the·2 w/ Legal
New York
LOCATION48 w/ the·3 w/ Legal
Marc Rich
PERSON45 w/ the·3 w/ Legal
JPMorgan Chase
ORGANIZATION44 w/ the·3 w/ Legal
Federal Reserve
ORGANIZATION40 w/ the·3 w/ Legal
the State of New York
LOCATION31 w/ the·2 w/ Legal
New York State
LOCATION24 w/ the·3 w/ Legal
UBS AG
ORGANIZATION18 w/ the·3 w/ Legal
Internal Revenue Service
ORGANIZATION15 w/ the·3 w/ Legal
New Hampshire
LOCATION13 w/ the·3 w/ Legal
Wilmington
LOCATION12 w/ the·3 w/ Legal
Fannie Mae
ORGANIZATION10 w/ the·3 w/ Legal
Mohammed bin Salman
PERSON10 w/ the·3 w/ Legal
UBS Securities LLC
ORGANIZATION9 w/ the·3 w/ Legal
UBS Fund
ORGANIZATION8 w/ the·3 w/ Legal
Lehman
ORGANIZATION8 w/ the·3 w/ Legal
the U.S. Department of Labor
ORGANIZATION8 w/ the·3 w/ Legal