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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
e have a broker- dealer entity registered under the Exchange Act or another similarly regulated entity. Cayman Islands Mutual Funds Law Pursuant to the Mutual Funds Law (as amended) of the Cayman Islands (the "Law"), certain "master funds" (as defined in the Mutual Funds Law) are required to be registered with, and
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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
nds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) 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 submitt
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. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Sta
nds Law Pursuant to recent amendments to the Mutual Funds Law (as amended) 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 submitt
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Mutual Connections (127)
Entities connected to both the Financial Advisor's and the Mutual Funds Law
New York State
LOCATION5 w/ the·6 w/ the
Cayman
LOCATION3 w/ the·7 w/ the
United States
LOCATION4 w/ the·6 w/ the
Lehman
ORGANIZATION5 w/ the·5 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ the·7 w/ the
the Non-USD Shares
ORGANIZATION3 w/ the·6 w/ the
UBS AG
ORGANIZATION6 w/ the·3 w/ the
New York
LOCATION3 w/ the·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ the·6 w/ the
Millennium
ORGANIZATION3 w/ the·6 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ the·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ the·6 w/ the
Mohammed bin Salman
PERSON3 w/ the·6 w/ the
England
LOCATION3 w/ the·6 w/ the
Back Taxes Payment
ORGANIZATION5 w/ the·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ the·3 w/ the
Brought
ORGANIZATION5 w/ the·3 w/ the
General State of NY
ORGANIZATION5 w/ the·3 w/ the
Parent Company
ORGANIZATION5 w/ the·3 w/ the
Dept. of
ORGANIZATION5 w/ the·3 w/ the