Document Mentions (3 shared documents)

EFTA00239188_sub_003 - EFTA00239188_269

2 mentions1 same-page

Page ?Same page

nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private clients was investigated and the firm was required to cease operating its non-W9 relations

's website is www.cimoney.ky. Foreign Registrations A number of the Millennium entities are registered with their local regulators. See "The Fund's Management, Structure and Operations—Affiliated Relying Advisers." Stock Farchanges/Self-Regulatory Organizations By virtue of their exchange memberships, certain Millennium entities are also subject to oversigh

EFTA00237816_sub_003 - EFTA00237816_258

2 mentions1 same-page

Page ?Same page

nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh

r approval of other actions. Foreign Registrations A number of the Millennium entities are registered with their local regulators. See "The Fund's Management, Structure and Operations—Affiliated Relying Advisers." Stock Exchanges/Self-Regulatory Organizations By virtue of their exchange memberships, a number of Millennium entities are also subject to overs

EFTA00236853_sub_003 - EFTA00236853_258

2 mentions1 same-page

Page ?Same page

nt (5200,000,000 is to the SEC); Back Taxes Payment, Monetary Sanctions: 5380,000,000; 5400,000,000 16. Date of Action: December 2008 Brought By: Swiss Federal Banking Commission Allegations: The cross-border business of UBS AG private dients was investigated and the firm was required to cease operating its non-W9 relationsh