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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
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
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
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
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
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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Entities connected to both New York State and Legal and Ethics Oversight
New York
LOCATION233 w/ New·3 w/ Legal
United States
LOCATION178 w/ New·3 w/ Legal
Ghislaine Maxwell
PERSON138 w/ New·2 w/ Legal
Samantha Power
PERSON116 w/ New·3 w/ Legal
Department of Justice
ORGANIZATION114 w/ New·3 w/ Legal
Marc Rich
PERSON58 w/ New·3 w/ Legal
the State of New York
LOCATION51 w/ New·2 w/ Legal
Wilmington
LOCATION39 w/ New·3 w/ Legal
JPMorgan Chase
ORGANIZATION26 w/ New·3 w/ Legal
the Securities and Exchange Commission
ORGANIZATION24 w/ New·3 w/ Legal
Tokyo
LOCATION22 w/ New·3 w/ Legal
Internal Revenue Service
ORGANIZATION18 w/ New·3 w/ Legal
Mohammed bin Salman
PERSON18 w/ New·3 w/ Legal
New Hampshire
LOCATION17 w/ New·3 w/ Legal
Federal Reserve
ORGANIZATION14 w/ New·3 w/ Legal
Cayman
LOCATION12 w/ New·3 w/ Legal
England
LOCATION8 w/ New·3 w/ Legal
UBS Securities LLC
ORGANIZATION8 w/ New·3 w/ Legal
Lehman
ORGANIZATION8 w/ New·3 w/ Legal
Millennium
ORGANIZATION7 w/ New·3 w/ Legal