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se. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
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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se. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
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
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s person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
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 (128)
Entities connected to both Parent Company and the Cayman Islands Monetary Authority
United States
LOCATION6 w/ Parent·9 w/ the
Cayman
LOCATION3 w/ Parent·10 w/ the
Department of Justice
ORGANIZATION8 w/ Parent·4 w/ the
New York State
LOCATION5 w/ Parent·6 w/ the
JPMorgan Chase
ORGANIZATION3 w/ Parent·7 w/ the
Lehman
ORGANIZATION5 w/ Parent·5 w/ the
New Hampshire
LOCATION7 w/ Parent·3 w/ the
New York
LOCATION4 w/ Parent·6 w/ the
the Mutual Funds Law
ORGANIZATION3 w/ Parent·7 w/ the
Tokyo
LOCATION3 w/ Parent·6 w/ the
the Non-USD Shares
ORGANIZATION3 w/ Parent·6 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Parent·3 w/ the
Millennium
ORGANIZATION3 w/ Parent·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ Parent·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ Parent·6 w/ the
Ghislaine Maxwell
PERSON4 w/ Parent·5 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ Parent·6 w/ the
Marc Rich
PERSON4 w/ Parent·5 w/ the
Mohammed bin Salman
PERSON3 w/ Parent·6 w/ the
Federal Reserve
ORGANIZATION6 w/ Parent·3 w/ the