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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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
2 mentions1 same-page
Page ?Same page
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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
2 mentions1 same-page
Page ?Same page
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
y loans or other similar arrangements to facilitate the Fund's investment activities, including in other jurisdictions, in the future. Compliance, Legal and Ethics Oversight (CLEO) Committee The CLEO Committee is responsible for reviewing firm-wide compliance, legal and ethics issues throughout Millennium's business as
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Mutual Connections (126)
Entities connected to both Connecticut Department and Legal and Ethics Oversight
Fannie Mae
ORGANIZATION4 w/ Connecticut·3 w/ Legal
New Hampshire
LOCATION4 w/ Connecticut·3 w/ Legal
Swiss Federal Banking Commission
ORGANIZATION4 w/ Connecticut·3 w/ Legal
the Financial Advisor's
ORGANIZATION4 w/ Connecticut·3 w/ Legal
Parent Company
ORGANIZATION4 w/ Connecticut·3 w/ Legal
Dept. of
ORGANIZATION4 w/ Connecticut·3 w/ Legal
Back Taxes Payment
ORGANIZATION4 w/ Connecticut·3 w/ Legal
United States
LOCATION4 w/ Connecticut·3 w/ Legal
UBS Securities LLC
ORGANIZATION4 w/ Connecticut·3 w/ Legal
the Securities and Exchange Commission
ORGANIZATION4 w/ Connecticut·3 w/ Legal
Department of Justice
ORGANIZATION4 w/ Connecticut·3 w/ Legal
New York State
LOCATION4 w/ Connecticut·3 w/ Legal
the Connecticut Department of Banking
ORGANIZATION4 w/ Connecticut·3 w/ Legal
Internal Revenue Service
ORGANIZATION4 w/ Connecticut·3 w/ Legal
UBS AG
ORGANIZATION4 w/ Connecticut·3 w/ Legal
UBS Fund
ORGANIZATION4 w/ Connecticut·3 w/ Legal
Lehman Structured Products
ORGANIZATION4 w/ Connecticut·3 w/ Legal
Massachusetts Securities Division
ORGANIZATION4 w/ Connecticut·3 w/ Legal
the North American Securities Administrators Association
ORGANIZATION4 w/ Connecticut·3 w/ Legal
Civil Penalty
ORGANIZATION4 w/ Connecticut·3 w/ Legal