Back to Network
5
Shared Docs
5
Same-Page
5 / 5
Mentions
Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
the FCA in accordance with Regulation 54 of the AIFMD Regulations. This Memorandum is not an approved prospectus for the purposes of Section 85 of the UK Financial Services and Markets Act 2000 ("FSMA"). AUSTRALIA The Interests are only being offered in circumstances under which no EFTA01398096 disclosure is requir
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
the FCA in accordance with Regulation 54 of the AIFMD Regulations. This Memorandum is not an approved prospectus for the purposes of Section 85 of the UK Financial Services and Markets Act 2000 ("FSMA"). AUSTRALIA The Interests are only being offered in circumstances under which no EFTA01396054 disclosure is requir
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
the FCA in accordance with Regulation 54 of the AIFMD Regulations. This Memorandum is not an approved prospectus for the purposes of Section 85 of the UK Financial Services and Markets Act 2000 ("FSMA"). AUSTRALIA The Interests are only being offered in circumstances under which no EFTA01396618 disclosure is requir
Sponsored
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
the FCA in accordance with Regulation 54 of the AIFMD Regulations. This Memorandum is not an approved prospectus for the purposes of Section 85 of the UK Financial Services and Markets Act 2000 ("FSMA"). AUSTRALIA The Interests are only being offered in circumstances under which no EFTA01395590 disclosure is requir
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
the FCA in accordance with Regulation 54 of the AIFMD Regulations. This Memorandum is not an approved prospectus for the purposes of Section 85 of the UK Financial Services and Markets Act 2000 ("FSMA"). AUSTRALIA The Interests are only being offered in circumstances under which no EFTA01397291 disclosure is requir
Sponsored
Mutual Connections (104)
Entities connected to both Puerto Rico and the UK Financial Services
Julie K. Brown
PERSON198 w/ Puerto·5 w/ the
United States
LOCATION187 w/ Puerto·5 w/ the
the Securities and Exchange Commission
ORGANIZATION134 w/ Puerto·5 w/ the
Prince Charles
PERSON119 w/ Puerto·10 w/ the
J. Robert Oppenheimer
PERSON104 w/ Puerto·5 w/ the
New York
LOCATION67 w/ Puerto·5 w/ the
United Kingdom
LOCATION39 w/ Puerto·30 w/ the
New York State
LOCATION57 w/ Puerto·5 w/ the
RJ
Raymond James'
PERSON41 w/ Puerto·5 w/ the
Cayman
LOCATION39 w/ Puerto·5 w/ the
Denmark
LOCATION32 w/ Puerto·10 w/ the
the U.S. Investment Company Act
ORGANIZATION31 w/ Puerto·5 w/ the
Credit Suisse
ORGANIZATION26 w/ Puerto·10 w/ the
European Union
ORGANIZATION26 w/ Puerto·10 w/ the
Michael Douglas
PERSON31 w/ Puerto·5 w/ the
Columbia University
LOCATION27 w/ Puerto·5 w/ the
Financial Conduct Authority
ORGANIZATION6 w/ Puerto·25 w/ the
BAHRAIN
LOCATION6 w/ Puerto·25 w/ the
Finland
LOCATION20 w/ Puerto·10 w/ the
Malta
LOCATION25 w/ Puerto·5 w/ the