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Document Mentions (3 shared documents)
2 mentions1 same-page
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formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
2 mentions1 same-page
Page ?Same page
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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Mutual Connections (126)
Entities connected to both UBS Fund and Legal and Ethics Oversight
UBS AG
ORGANIZATION9 w/ UBS·3 w/ Legal
the Securities and Exchange Commission
ORGANIZATION8 w/ UBS·3 w/ Legal
Federal Reserve
ORGANIZATION8 w/ UBS·3 w/ Legal
United States
LOCATION8 w/ UBS·3 w/ Legal
Department of Justice
ORGANIZATION7 w/ UBS·3 w/ Legal
Cease & Desist
ORGANIZATION7 w/ UBS·3 w/ Legal
Fannie Mae
ORGANIZATION7 w/ UBS·3 w/ Legal
UBS Securities LLC
ORGANIZATION7 w/ UBS·3 w/ Legal
Ghislaine Maxwell
PERSON7 w/ UBS·2 w/ Legal
UBS Fund Advisor
ORGANIZATION6 w/ UBS·3 w/ Legal
Swiss Federal Banking Commission
ORGANIZATION5 w/ UBS·3 w/ Legal
New York State
LOCATION5 w/ UBS·3 w/ Legal
Internal Revenue Service
ORGANIZATION5 w/ UBS·3 w/ Legal
Ernst & Young LLP
ORGANIZATION5 w/ UBS·3 w/ Legal
Samantha Power
PERSON5 w/ UBS·3 w/ Legal
New Hampshire
LOCATION5 w/ UBS·3 w/ Legal
Lehman Structured Products
ORGANIZATION5 w/ UBS·3 w/ Legal
Massachusetts Securities Division
ORGANIZATION5 w/ UBS·3 w/ Legal
the North American Securities Administrators Association
ORGANIZATION5 w/ UBS·3 w/ Legal
Civil Penalty
ORGANIZATION5 w/ UBS·3 w/ Legal