Back to Network
3
Shared Docs
3
Same-Page
3 / 3
Mentions
Document Mentions (3 shared documents)
2 mentions1 same-page
Page ?Same page
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR000
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund may seek to hedge the exposure of such interests to minimize, to the exten
2 mentions1 same-page
Page ?Same page
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund will seek to hedge the exposure of such interests to minimize, to the exte
2 mentions1 same-page
Page ?Same page
tion 60 (11 NYCRR 51.5). 11. Date of Action: May 12, 2000 Entity: Individual Financial Advisor Brought By: Ohio Division of Securities Details: The Ohio Division of Securities issued a final order to deny the Financial Advisor's application for a securities sales person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIA
on-USD Shares, and the Feeder Funds may in the future offer other interests which have different functional currencies or reference assets. As with the Non-USD Shares, the terms of such interests may provide that the applicable Feeder Fund will seek to hedge the exposure of such interests to minimize, to the exte
Sponsored
Mutual Connections (127)
Entities connected to both The Ohio Division of Securities and the Non-USD Shares
New York State
LOCATION5 w/ The·6 w/ the
Lehman
ORGANIZATION5 w/ The·5 w/ the
Brought
ORGANIZATION7 w/ The·3 w/ the
UBS Securities LLC
ORGANIZATION7 w/ The·3 w/ the
Mohammed bin Salman
PERSON3 w/ The·6 w/ the
Cayman
LOCATION3 w/ The·6 w/ the
England
LOCATION3 w/ The·6 w/ the
Cayman Islands Tax Matters
ORGANIZATION3 w/ The·6 w/ the
New York
LOCATION3 w/ The·6 w/ the
United States
LOCATION4 w/ The·5 w/ the
Millennium
ORGANIZATION3 w/ The·6 w/ the
the Mutual Funds Law
ORGANIZATION3 w/ The·6 w/ the
the Cayman Islands Monetary Authority
ORGANIZATION3 w/ The·6 w/ the
Ernst & Young LLP
ORGANIZATION3 w/ The·6 w/ the
Millennium USA LP
ORGANIZATION3 w/ The·6 w/ the
General State of NY
ORGANIZATION5 w/ The·3 w/ the
Cease & Desist
ORGANIZATION5 w/ The·3 w/ the
the Financial Advisor's
ORGANIZATION5 w/ The·3 w/ the
Parent Company
ORGANIZATION5 w/ The·3 w/ the
Dept. of
ORGANIZATION5 w/ The·3 w/ the