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ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (DOA State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS, t
ncial products that relate to investment in investment funds increases, Millennium will continually evaluate new sources of financing and leverage. The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
2 mentions1 same-page
Page ?Same page
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
llennium will continually evaluate new sources of financing and leverage. ML281817-MAXWELL II-5I CONFIDENTIAL UBSTERRAMAR00002467 EFTA00238023 The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
2 mentions1 same-page
Page ?Same page
ministrative fine of 5100,000; Investigation costs of 5200,000; Administrative payment of 5700,000 3. Date of Action: May 4, 2011 Brought By: SEC, Internal Revenue Service (IRS), Dept. of Justice (D01), State Attorney General of 24 States UBS AG and UBS Financial Services Inc. reached settlements with the SEC, the IRS,
ases, Millennium will continually evaluate new sources of financing and leverage. -MAXWELL II-5I CONFIDENTIAL UBSTERRAMAR00001414 EFTA00237060 The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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Mutual Connections (130)
Entities connected to both Internal Revenue Service and The Fund's Risk Management Program
U.S. Treasury
ORGANIZATION44 w/ Internal·2 w/ The
United States
LOCATION40 w/ Internal·4 w/ The
Department of Justice
ORGANIZATION35 w/ Internal·3 w/ The
Ghislaine Maxwell
PERSON34 w/ Internal·2 w/ The
Samantha Power
PERSON25 w/ Internal·3 w/ The
Marc Rich
PERSON23 w/ Internal·4 w/ The
New York
LOCATION20 w/ Internal·5 w/ The
New York State
LOCATION18 w/ Internal·4 w/ The
the State of New York
LOCATION19 w/ Internal·2 w/ The
the Securities and Exchange Commission
ORGANIZATION15 w/ Internal·4 w/ The
UBS AG
ORGANIZATION13 w/ Internal·4 w/ The
Federal Reserve
ORGANIZATION10 w/ Internal·3 w/ The
New Hampshire
LOCATION9 w/ Internal·3 w/ The
Lehman
ORGANIZATION8 w/ Internal·3 w/ The
Wilmington
LOCATION7 w/ Internal·3 w/ The
Mohammed bin Salman
PERSON6 w/ Internal·4 w/ The
Cayman
LOCATION5 w/ Internal·5 w/ The
the Delaware Limited Liability Company Act
ORGANIZATION7 w/ Internal·3 w/ The
Fannie Mae
ORGANIZATION7 w/ Internal·3 w/ The
UBS Fund Advisor
ORGANIZATION6 w/ Internal·4 w/ The