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intended to protect the markets themselves and a firm's public customers, rather than investors in the Master Partnership or in the Feeder Funds. Anti-Money Laundering Regulations The Master Partnership accepts investments only from (i) the Feeder Funds, (ii) entities through which Portfolio Managers and related personnel are
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR000
2 mentions1 same-page
Page ?Same page
intended to protect the markets themselves and a firm's public customers, rather than investors in the Master Partnership or in the Feeder Funds. Anti-Money Laundering Regulations The Master Partnership accepts investments only from (i) the Feeder Funds, (ii) entities through which Portfolio Managers and related personnel are
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of
2 mentions1 same-page
Page ?Same page
intended to protect the markets themselves and a firm's public customers, rather than investors in the Master Partnership or in the Feeder Funds. Anti-Money Laundering Regulations The Master Partnership accepts investments only from (i) the Feeder Funds, (ii) entities through which Portfolio Managers and related personnel are
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIA
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Mutual Connections (126)
Entities connected to both Anti-Money Laundering Regulations and The Ohio Division of Securities
UBS Securities LLC
ORGANIZATION3 w/ Anti-Money·7 w/ The
Brought
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the Financial Advisor's
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Parent Company
ORGANIZATION3 w/ Anti-Money·5 w/ The
Dept. of
ORGANIZATION3 w/ Anti-Money·5 w/ The
United States
LOCATION4 w/ Anti-Money·4 w/ The
the Securities and Exchange Commission
ORGANIZATION3 w/ Anti-Money·5 w/ The
Department of Justice
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New York State
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Lehman
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New Hampshire
LOCATION3 w/ Anti-Money·5 w/ The
Federal Reserve
ORGANIZATION3 w/ Anti-Money·5 w/ The
Samantha Power
PERSON4 w/ Anti-Money·4 w/ The
Fannie Mae
ORGANIZATION3 w/ Anti-Money·5 w/ The
Internal Revenue Service
ORGANIZATION3 w/ Anti-Money·5 w/ The
UBS AG
ORGANIZATION3 w/ Anti-Money·5 w/ The
UBS Fund
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Lehman Structured Products
ORGANIZATION3 w/ Anti-Money·5 w/ The
Massachusetts Securities Division
ORGANIZATION3 w/ Anti-Money·5 w/ The
the North American Securities Administrators Association
ORGANIZATION3 w/ Anti-Money·5 w/ The