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d 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 Association. Auction Rate Securities (ARS): UBS is perman
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
2 mentions1 same-page
Page ?Same page
d 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 Association. Auction Rate Securities (ARS): UBS is perman
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
2 mentions1 same-page
Page ?Same page
d 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 Association. Auction Rate Securities (ARS): UBS is perman
provide the Fund with reduced fee arrangements or an interest in the asset-based and performance-based compensation generated from other sources by the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no
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Mutual Connections (126)
Entities connected to both New York State and the applicable Portfolio Managers
New York
LOCATION233 w/ New·3 w/ the
United States
LOCATION178 w/ New·3 w/ the
Ghislaine Maxwell
PERSON138 w/ New·2 w/ the
Samantha Power
PERSON116 w/ New·3 w/ the
Department of Justice
ORGANIZATION114 w/ New·3 w/ the
Marc Rich
PERSON58 w/ New·3 w/ the
the State of New York
LOCATION51 w/ New·2 w/ the
Wilmington
LOCATION39 w/ New·3 w/ the
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ the
the Securities and Exchange Commission
ORGANIZATION24 w/ New·3 w/ the
Tokyo
LOCATION22 w/ New·3 w/ the
Internal Revenue Service
ORGANIZATION18 w/ New·3 w/ the
Mohammed bin Salman
PERSON18 w/ New·3 w/ the
New Hampshire
LOCATION17 w/ New·3 w/ the
Federal Reserve
ORGANIZATION14 w/ New·3 w/ the
Cayman
LOCATION12 w/ New·3 w/ the
England
LOCATION8 w/ New·3 w/ the
UBS Securities LLC
ORGANIZATION8 w/ New·3 w/ the
Lehman
ORGANIZATION8 w/ New·3 w/ the
Millennium
ORGANIZATION7 w/ New·3 w/ the