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n favor of investors in the Fund. Allocation of Investment Strategies and Investments to and Among the Feeder Funds and Other Accounts; Conflicting Investment Opportunities; Cross Transactions In addition to the Feeder Funds and certain related entities through which the Portfolio Managers invest, Millennium has establ
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
2 mentions1 same-page
Page ?Same page
icts in a manner that is fair and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
2 mentions1 same-page
Page ?Same page
icts in a manner that is fair and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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Mutual Connections (126)
Entities connected to both Investment Opportunities and Connecticut Department
Federal Reserve
ORGANIZATION4 w/ Investment·4 w/ Connecticut
Department of Justice
ORGANIZATION4 w/ Investment·4 w/ Connecticut
United States
LOCATION4 w/ Investment·4 w/ Connecticut
JPMorgan Chase
ORGANIZATION5 w/ Investment·3 w/ Connecticut
Samantha Power
PERSON4 w/ Investment·4 w/ Connecticut
UBS Fund
ORGANIZATION3 w/ Investment·4 w/ Connecticut
Lehman Structured Products
ORGANIZATION3 w/ Investment·4 w/ Connecticut
Massachusetts Securities Division
ORGANIZATION3 w/ Investment·4 w/ Connecticut
the North American Securities Administrators Association
ORGANIZATION3 w/ Investment·4 w/ Connecticut
Civil Penalty
ORGANIZATION3 w/ Investment·4 w/ Connecticut
Cease & Desist
ORGANIZATION3 w/ Investment·4 w/ Connecticut
General State of NY
ORGANIZATION3 w/ Investment·4 w/ Connecticut
Brought
ORGANIZATION3 w/ Investment·4 w/ Connecticut
The Ohio Division of Securities
ORGANIZATION3 w/ Investment·4 w/ Connecticut
Back Taxes Payment
ORGANIZATION3 w/ Investment·4 w/ Connecticut
Swiss Federal Banking Commission
ORGANIZATION3 w/ Investment·4 w/ Connecticut
UBS Fund Advisor
ORGANIZATION3 w/ Investment·4 w/ Connecticut
New York State
LOCATION3 w/ Investment·4 w/ Connecticut
the Connecticut Department of Banking
ORGANIZATION3 w/ Investment·4 w/ Connecticut
Internal Revenue Service
ORGANIZATION3 w/ Investment·4 w/ Connecticut