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Document Mentions (3 shared documents)
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vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
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
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
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
vides information about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as wel
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 UBS AG and Legal and Ethics Oversight
Ghislaine Maxwell
PERSON165 w/ UBS·2 w/ Legal
United States
LOCATION78 w/ UBS·3 w/ Legal
Cayman
LOCATION48 w/ UBS·3 w/ Legal
Marc Rich
PERSON44 w/ UBS·3 w/ Legal
Samantha Power
PERSON34 w/ UBS·3 w/ Legal
JPMorgan Chase
ORGANIZATION22 w/ UBS·3 w/ Legal
Department of Justice
ORGANIZATION21 w/ UBS·3 w/ Legal
New York
LOCATION19 w/ UBS·3 w/ Legal
the Securities and Exchange Commission
ORGANIZATION18 w/ UBS·3 w/ Legal
Federal Reserve
ORGANIZATION16 w/ UBS·3 w/ Legal
UBS Securities LLC
ORGANIZATION14 w/ UBS·3 w/ Legal
Internal Revenue Service
ORGANIZATION13 w/ UBS·3 w/ Legal
Fannie Mae
ORGANIZATION11 w/ UBS·3 w/ Legal
the State of New York
LOCATION11 w/ UBS·2 w/ Legal
Lehman
ORGANIZATION10 w/ UBS·3 w/ Legal
UBS Fund
ORGANIZATION9 w/ UBS·3 w/ Legal
UBS Fund Advisor
ORGANIZATION8 w/ UBS·3 w/ Legal
Millennium
ORGANIZATION8 w/ UBS·3 w/ Legal
Ernst & Young LLP
ORGANIZATION8 w/ UBS·3 w/ Legal
Cease & Desist
ORGANIZATION7 w/ UBS·3 w/ Legal