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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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund may seek to hedge the exposure of such interests to minimize, to the exten
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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund will seek to hedge the exposure of such interests to minimize, to the exte
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
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund will seek to hedge the exposure of such interests to minimize, to the exte
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Mutual Connections (127)
Entities connected to both the Financial Advisor's and the Non-USD Shares
New York State
LOCATION5 w/ the·6 w/ the
Lehman
ORGANIZATION5 w/ the·5 w/ the
Millennium USA LP
ORGANIZATION3 w/ the·6 w/ the
Mohammed bin Salman
PERSON3 w/ the·6 w/ the
Cayman
LOCATION3 w/ the·6 w/ the
England
LOCATION3 w/ the·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ the·6 w/ the
UBS AG
ORGANIZATION6 w/ the·3 w/ the
New York
LOCATION3 w/ the·6 w/ the
United States
LOCATION4 w/ the·5 w/ the
the Mutual Funds Law
ORGANIZATION3 w/ the·6 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ the·6 w/ the
Millennium
ORGANIZATION3 w/ the·6 w/ the
Ernst & Young LLP
ORGANIZATION3 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