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lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
e Fund. Allocation of Investment Strategies and Investments to and Among the Feeder Funds and Other Accounts; Conflicting Investment Opportunities; Cross Transactions In addition to the Feeder Funds and certain related entities through which the Portfolio Managers invest, Millennium has established, and may in th
2 mentions1 same-page
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lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
air and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through which the Portfolio
2 mentions1 same-page
Page ?Same page
lion 13. Date of Action: December 12, 2012 Brought By: ESA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
air and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through which the Portfolio
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Mutual Connections (126)
Entities connected to both Department of Justice and Cross Transactions
United States
LOCATION1,116 w/ Department·3 w/ Cross
Ghislaine Maxwell
PERSON917 w/ Department·2 w/ Cross
New York
LOCATION473 w/ Department·3 w/ Cross
Marc Rich
PERSON295 w/ Department·3 w/ Cross
Samantha Power
PERSON233 w/ Department·3 w/ Cross
New York State
LOCATION114 w/ Department·3 w/ Cross
New Hampshire
LOCATION110 w/ Department·3 w/ Cross
the Securities and Exchange Commission
ORGANIZATION88 w/ Department·3 w/ Cross
Federal Reserve
ORGANIZATION63 w/ Department·3 w/ Cross
Mohammed bin Salman
PERSON56 w/ Department·3 w/ Cross
Wilmington
LOCATION48 w/ Department·3 w/ Cross
JPMorgan Chase
ORGANIZATION44 w/ Department·3 w/ Cross
Tokyo
LOCATION40 w/ Department·3 w/ Cross
Internal Revenue Service
ORGANIZATION35 w/ Department·3 w/ Cross
the State of New York
LOCATION25 w/ Department·2 w/ Cross
UBS AG
ORGANIZATION21 w/ Department·3 w/ Cross
the U.S. Department of Labor
ORGANIZATION18 w/ Department·3 w/ Cross
Lehman
ORGANIZATION13 w/ Department·3 w/ Cross
Fannie Mae
ORGANIZATION9 w/ Department·3 w/ Cross
England
LOCATION9 w/ Department·3 w/ Cross