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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 UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY
f the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are required to be registered with, and regulated by, the Cayman Islands Monetary Authority (the "Monetary Authority"). The Master Partnership is so registered with the Monetary Authority. As a regulated "master fund," the Master Partnersh
2 mentions1 same-page
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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 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071
mended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are to be registered with, and regulated by, the Cayman Islands Monetary Authority (the "Monetary Authority"). The Master Partnership has submitted an application for registration pursuant to the Law. As a regulated "master fund,
2 mentions1 same-page
Page ?Same page
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 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
mended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are to be registered with, and regulated by, the Cayman Islands Monetary Authority (the "Monetary Authority"). The Master Partnership has submitted an application for registration pursuant to the Law. As a regulated "master fund,
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Mutual Connections (127)
Entities connected to both the Financial Advisor's and the Cayman Islands Monetary Authority
Cayman
LOCATION3 w/ the·10 w/ the
United States
LOCATION4 w/ the·9 w/ the
New York State
LOCATION5 w/ the·6 w/ the
JPMorgan Chase
ORGANIZATION3 w/ the·7 w/ the
the Mutual Funds Law
ORGANIZATION3 w/ the·7 w/ the
Lehman
ORGANIZATION5 w/ the·5 w/ the
Millennium USA LP
ORGANIZATION3 w/ the·6 w/ the
UBS AG
ORGANIZATION6 w/ the·3 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ the·6 w/ the
Ghislaine Maxwell
PERSON4 w/ the·5 w/ the
Millennium
ORGANIZATION3 w/ the·6 w/ the
Department of Justice
ORGANIZATION5 w/ the·4 w/ the
Mohammed bin Salman
PERSON3 w/ the·6 w/ the
England
LOCATION3 w/ the·6 w/ the
the Non-USD Shares
ORGANIZATION3 w/ the·6 w/ the
Tokyo
LOCATION3 w/ the·6 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ the·6 w/ the
New York
LOCATION3 w/ the·6 w/ the
Civil Penalty
ORGANIZATION5 w/ the·3 w/ the
Fannie Mae
ORGANIZATION5 w/ the·3 w/ the