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Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Page ?Same page
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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
Page ?Same page
Allegations: Violations of 34 Act Section 15(c) regarding the marketing and sale of Auction Rate Securities. Disposition: Cease & Desist Injunction; Civil Penalty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UB
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 (127)
Entities connected to both Civil Penalty and the Cayman Islands Monetary Authority
Cayman
LOCATION3 w/ Civil·10 w/ the
United States
LOCATION4 w/ Civil·9 w/ the
New York State
LOCATION5 w/ Civil·6 w/ the
JPMorgan Chase
ORGANIZATION3 w/ Civil·7 w/ the
Lehman
ORGANIZATION5 w/ Civil·5 w/ the
the Mutual Funds Law
ORGANIZATION3 w/ Civil·7 w/ the
Mohammed bin Salman
PERSON3 w/ Civil·6 w/ the
England
LOCATION3 w/ Civil·6 w/ the
Ghislaine Maxwell
PERSON4 w/ Civil·5 w/ the
New York
LOCATION3 w/ Civil·6 w/ the
Department of Justice
ORGANIZATION5 w/ Civil·4 w/ the
Millennium
ORGANIZATION3 w/ Civil·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ Civil·6 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ Civil·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ Civil·6 w/ the
Tokyo
LOCATION3 w/ Civil·6 w/ the
the Non-USD Shares
ORGANIZATION3 w/ Civil·6 w/ the
Dept. of
ORGANIZATION5 w/ Civil·3 w/ the
General State of NY
ORGANIZATION5 w/ Civil·3 w/ the
Cease & Desist
ORGANIZATION5 w/ Civil·3 w/ the