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the North American Securities Administrators Association
ORGANIZATIONthe Mutual Funds Law
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&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the broker/dealer anti-fraud provisions. Allegations: Violations of
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
2 mentions1 same-page
Page ?Same page
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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
Page ?Same page
&ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS): UBS is permanently enjoined from violations of the brokeridealer anti-fraud provisions. Allegations: Violations of
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 North American Securities Administrators Association and the Mutual Funds Law
New York State
LOCATION6 w/ the·6 w/ the
Lehman
ORGANIZATION6 w/ the·5 w/ the
United States
LOCATION4 w/ the·6 w/ the
Cayman
LOCATION3 w/ the·7 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ the·7 w/ the
Massachusetts Securities Division
ORGANIZATION6 w/ the·3 w/ the
Lehman Structured Products
ORGANIZATION6 w/ the·3 w/ the
New Hampshire
LOCATION6 w/ the·3 w/ the
the Securities and Exchange Commission
ORGANIZATION6 w/ the·3 w/ the
Millennium
ORGANIZATION3 w/ the·6 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
UBS Securities LLC
ORGANIZATION6 w/ the·3 w/ the
New York
LOCATION3 w/ the·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ the·6 w/ the
Internal Revenue Service
ORGANIZATION6 w/ the·3 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ the·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ the·6 w/ the
Dept. of
ORGANIZATION6 w/ the·3 w/ the