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0001772 EFTA00237403 O2012 UBS Finanoal Services Inc All Rights Reserved. Member SIPC 110106-2698-001 UBS Finandal SeMud Inc. is a subsidiary of UBS AG. 4$3314§8-MAXWELL CONFIDENTIAL UBSTERRAMAR00001773 EFTA00237404
the amnions hereof shall be severable. (V The Undersigned has reviewed the registration requirements of the Commodity Exchange Act. the CFTC and the National Futures Association applicable to commodity pool operators and commodity trading advisors and has determined that the Undersigned is in compliance with such requireme
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he Administrator is an indirect, wholly owned subsidiary of UBS Americas, Inc. (the "UBS Americas") which, in turn, is a wholly owned subsidiary of UBS AG (together with its affiliates, "UBS"), a Swiss bank. UBSFS, a wholly owned subsidiary of UBS Americas, is registered as a broker-dealer under the
Investor Application, shall have any legal effect. The Administrator is registered as a "commodity pool operator" with the CFTC and is a member of the National Futures Association ("NFA") in such capacity under the U.S. Commodity Exchange Act, as amended. With respect to the AlphaKeys Fund, the Administrator has claimed an ex
2 mentions1 same-page
Page ?Same page
he Administrator is an indirect, wholly owned subsidiary of UBS Americas, Inc. (the "UBS Americas") which, in turn, is a wholly owned subsidiary of UBS AG (together with its affiliates, "UK") a Swiss bank. UBSFS, a wholly owned subsidiary of UBS Americas, is registered as a broker-dealer under the U.S
L CONFIDENTIAL UBSTERRAMAR00002263 EFTA00237819 The Administrator is registered as a "commodity pool operator" with the CFTC and is a member of the National Futures Association ("NFA") in such capacity under the U.S. Commodity Exchange Act, as amended. With respect to the AlphaKeys Fund, the Administrator has claimed an e
Sponsored
2 mentions1 same-page
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he Administrator is an indirect, wholly owned subsidiary of UBS Americas, Inc. (the "UBS Americas") which, in turn, is a wholly owned subsidiary of UBS AG (together with its affiliates, "UK") a Swiss bank. UBSFS, a wholly owned subsidiary of UBS Americas, is registered as a broker-dealer under the U.S
L CONFIDENTIAL UBSTERRAMAR00001210 EFTA00236856 The Administrator is registered as a "commodity pool operator" with the CFTC and is a member of the National Futures Association ("NFA") in such capacity under the U.S. Commodity Exchange Act, as amended. With respect to the AlphaKeys Fund, the Administrator has claimed an e
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Mutual Connections (121)
Entities connected to both UBS AG and the National Futures Association
Ghislaine Maxwell
PERSON165 w/ UBS·5 w/ the
United States
LOCATION78 w/ UBS·5 w/ the
U.S. Treasury
ORGANIZATION67 w/ UBS·3 w/ the
UBS Financial Services Inc.
ORGANIZATION55 w/ UBS·3 w/ the
Cayman
LOCATION48 w/ UBS·3 w/ the
New York
LOCATION19 w/ UBS·3 w/ the
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·2 w/ the
Federal Reserve
ORGANIZATION16 w/ UBS·2 w/ the
FDIC
ORGANIZATION15 w/ UBS·2 w/ the
Philadelphia
LOCATION13 w/ UBS·2 w/ the
the Internal Revenue Service
ORGANIZATION11 w/ UBS·3 w/ the
Ernst & Young LLP
ORGANIZATION8 w/ UBS·3 w/ the
Millennium
ORGANIZATION8 w/ UBS·3 w/ the
UBS Fund Advisor
ORGANIZATION8 w/ UBS·2 w/ the
AlphaKeys
ORGANIZATION7 w/ UBS·2 w/ the
Keogh
ORGANIZATION5 w/ UBS·4 w/ the
Administrative Services
ORGANIZATION6 w/ UBS·3 w/ the
Paul Volcker
PERSON6 w/ UBS·3 w/ the
the Portfolio Managers
ORGANIZATION5 w/ UBS·3 w/ the
the Investor Application
ORGANIZATION5 w/ UBS·3 w/ the