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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
ncial products that relate to investment in investment funds increases, Millennium will continually evaluate new sources of financing and leverage. The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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
llennium will continually evaluate new sources of financing and leverage. ML281817-MAXWELL II-5I CONFIDENTIAL UBSTERRAMAR00002467 EFTA00238023 The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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
ases, Millennium will continually evaluate new sources of financing and leverage. -MAXWELL II-5I CONFIDENTIAL UBSTERRAMAR00001414 EFTA00237060 The Fund's Risk Management Program Millennium maintains an investment risk assessment and management program designed to identify, measure, monitor, manage and report on the market r
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Mutual Connections (126)
Entities connected to both Civil Penalty and The Fund's Risk Management Program
UBS Fund
ORGANIZATION5 w/ Civil·4 w/ The
UBS AG
ORGANIZATION5 w/ Civil·4 w/ The
the Securities and Exchange Commission
ORGANIZATION5 w/ Civil·4 w/ The
New York State
LOCATION5 w/ Civil·4 w/ The
Back Taxes Payment
ORGANIZATION5 w/ Civil·3 w/ The
Swiss Federal Banking Commission
ORGANIZATION5 w/ Civil·3 w/ The
UBS Fund Advisor
ORGANIZATION4 w/ Civil·4 w/ The
Millennium USA LP
ORGANIZATION3 w/ Civil·5 w/ The
UBS Securities LLC
ORGANIZATION5 w/ Civil·3 w/ The
New York
LOCATION3 w/ Civil·5 w/ The
Department of Justice
ORGANIZATION5 w/ Civil·3 w/ The
Federal Reserve
ORGANIZATION5 w/ Civil·3 w/ The
General State of NY
ORGANIZATION5 w/ Civil·3 w/ The
Brought
ORGANIZATION5 w/ Civil·3 w/ The
The Ohio Division of Securities
ORGANIZATION5 w/ Civil·3 w/ The
Internal Revenue Service
ORGANIZATION5 w/ Civil·3 w/ The
Ernst & Young LLP
ORGANIZATION3 w/ Civil·5 w/ The
United States
LOCATION4 w/ Civil·4 w/ The
Cayman
LOCATION3 w/ Civil·5 w/ The
New Hampshire
LOCATION5 w/ Civil·3 w/ The