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the Securities and Exchange Commission
ORGANIZATIONManagement, Structure and Operations—Affiliated Relying Advisers
ORGANIZATION3
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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
's website is www.cimoney.ky. Foreign Registrations A number of the Millennium entities are registered with their local regulators. See "The Fund's Management, Structure and Operations—Affiliated Relying Advisers." Stock Farchanges/Self-Regulatory Organizations By virtue of their exchange memberships, certain Millennium entities are also subject to oversigh
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
r approval of other actions. Foreign Registrations A number of the Millennium entities are registered with their local regulators. See "The Fund's Management, Structure and Operations—Affiliated Relying Advisers." Stock Exchanges/Self-Regulatory Organizations By virtue of their exchange memberships, a number of Millennium entities are also subject to overs
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
r approval of other actions. Foreign Registrations A number of the Millennium entities are registered with their local regulators. See "The Fund's Management, Structure and Operations—Affiliated Relying Advisers." Stock Exchanges/Self-Regulatory Organizations By virtue of their exchange memberships, a number of Millennium entities are also subject to overs
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Mutual Connections (126)
Entities connected to both the Securities and Exchange Commission and Management, Structure and Operations—Affiliated Relying Advisers
United States
LOCATION154 w/ the·3 w/ Management,
Department of Justice
ORGANIZATION88 w/ the·3 w/ Management,
Samantha Power
PERSON87 w/ the·3 w/ Management,
Ghislaine Maxwell
PERSON57 w/ the·2 w/ Management,
New York
LOCATION48 w/ the·3 w/ Management,
Marc Rich
PERSON45 w/ the·3 w/ Management,
JPMorgan Chase
ORGANIZATION44 w/ the·3 w/ Management,
Federal Reserve
ORGANIZATION40 w/ the·3 w/ Management,
the State of New York
LOCATION31 w/ the·2 w/ Management,
New York State
LOCATION24 w/ the·3 w/ Management,
UBS AG
ORGANIZATION18 w/ the·3 w/ Management,
Internal Revenue Service
ORGANIZATION15 w/ the·3 w/ Management,
New Hampshire
LOCATION13 w/ the·3 w/ Management,
Wilmington
LOCATION12 w/ the·3 w/ Management,
Fannie Mae
ORGANIZATION10 w/ the·3 w/ Management,
Mohammed bin Salman
PERSON10 w/ the·3 w/ Management,
UBS Securities LLC
ORGANIZATION9 w/ the·3 w/ Management,
UBS Fund
ORGANIZATION8 w/ the·3 w/ Management,
Lehman
ORGANIZATION8 w/ the·3 w/ Management,
the U.S. Department of Labor
ORGANIZATION8 w/ the·3 w/ Management,