3
Shared Docs
3
Same-Page
3 / 3
Mentions
reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
reporting requirements. DOJ: Payment of USD 203 million Federal Reserve: USD 342 million 13. Date of Action: December 12, 2012 Brought By: ESA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority
y the applicable Portfolio Managers. Millennium may negotiate any other appropriate return-enhancing or other arrangements in its sole discretion. Strategy Development There are no substantive limits on the investment strategies that may be pursued by the Fund. The Fund's capital may be invested in strategies othe
Entities connected to both Fannie Mae and Strategy Development

United States
LOCATION
Ghislaine Maxwell
PERSON
Marc Rich
PERSON
Mohammed bin Salman
PERSON
UBS AG
ORGANIZATION
Federal Reserve
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Department of Justice
ORGANIZATIONErnst & Young LLP
ORGANIZATIONCayman
LOCATIONUBS Securities LLC
ORGANIZATION
Samantha Power
PERSONUBS Fund
ORGANIZATIONCease & Desist
ORGANIZATION
Internal Revenue Service
ORGANIZATION
New York State
LOCATION
New York
LOCATIONDept. of
ORGANIZATIONLehman Structured Products
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATION