Sunshine Act Meeting, 30297 [2015-12960]

Download as PDF Federal Register / Vol. 80, No. 101 / Wednesday, May 27, 2015 / Notices enforcement agencies addressing the Conduct. 5. Applicants will provide written notification to the Chief Counsel of the Commission’s Division of Investment Management with a copy to the Chief Counsel of the Commission’s Division of Enforcement of a material violation of the terms and conditions of any of the Orders within 30 days of discovery of the material violation. Temporary Order The Commission has considered the matter and finds that Applicants have made the necessary showing to justify granting a temporary exemption. Accordingly, It is hereby ordered, pursuant to section 9(c) of the Act, that the Applicants and any other Covered Persons are granted a temporary exemption from the provisions of section 9(a), solely with respect to the guilty plea entered into pursuant to the Plea Agreement, subject to the representations and conditions in the application, from June 15, 2015 until the Commission takes final action on their application for a permanent order. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2015–12756 Filed 5–26–15; 8:45 am] BILLING CODE P Institution and settlement of administrative proceedings; Opinion; and Other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551–5400. Dated: May 21, 2015. Lynn M. Powalski, Deputy Secretary. [FR Doc. 2015–12960 Filed 5–22–15; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IC–31612; File No. 812–14465] UBS AG, et al.; Notice of Application and Temporary Order May 20, 2015. Securities and Exchange Commission (‘‘Commission’’) ACTION: Temporary order and notice of application for a permanent order under section 9(c) of the Investment Company Act of 1940 (‘‘Act’’). AGENCY: Applicants have received a temporary order (‘‘Temporary Order’’) exempting them from section 9(a) of the Act, with respect to a guilty plea entered on May 20, 2015, by UBS AG (‘‘UBS AG’’ or the ‘‘Settling Firm’’) in the United States District Court for the District of Connecticut (the ‘‘District Court’’) in connection with a plea agreement (‘‘Plea Agreement’’) between the Settling Firm and the United States Department of Justice (‘‘DOJ’’), until the Commission takes final action on an application for a permanent order (the ‘‘Permanent Order,’’ and with the Temporary Order, the ‘‘Orders’’). Applicants also have applied for a Permanent Order. APPLICANTS: UBS AG (‘‘UBS AG’’ or the ‘‘Settling Firm’’), UBS IB Co-Investment 2001 GP Limited (‘‘ESC GP’’), UBS Alternative and Quantitative Investments LLC (‘‘UBS Alternative’’), UBS O’Connor LLC (‘‘UBS O’Connor’’), UBS Global Asset Management (Americas) Inc. (‘‘UBS Global AM Americas’’), and UBS Global Asset Management (US) Inc. (‘‘UBS Global AM US’’) (each an ‘‘Applicant’’ and together, the ‘‘Applicants’’). FILING DATE: The application was filed on May 20, 2015. SUMMARY OF APPLICATION: SECURITIES AND EXCHANGE COMMISSION mstockstill on DSK4VPTVN1PROD with NOTICES Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, May 28, 2015 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meeting. Certain staff members who have an interest in the matters also may be present. The General Counsel of the Commission, or her designee, has certified that, in her opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the scheduled matter at the Closed Meeting. Commissioner Aguilar, as duty officer, voted to consider the items listed for the Closed Meeting in closed session. The subject matter of the Closed Meeting will be: Institution of injunctive actions; VerDate Sep<11>2014 16:45 May 26, 2015 Jkt 235001 PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 30297 An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission’s Secretary and serving Applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on June 15, 2015, and should be accompanied by proof of service on Applicants, in the form of an affidavit, or for lawyers, a certificate of service. Pursuant to rule 0–5 under the Act, hearing requests should state the nature of the writer’s interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission’s Secretary. ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549– 1090; Applicants: UBS AG and ESC GP: c/o UBS Investment Bank, 677 Washington Boulevard, Stamford, CT 06901; UBS Alternative: 677 Washington Boulevard, Stamford, CT 06901; UBS O’Connor and UBS Global AM Americas: One North Wacker Drive, Chicago, IL 60606; UBS Global AM US: 1285 Avenue of the Americas, 12th Floor, New York, NY 10019. FOR FURTHER INFORMATION CONTACT: David Joire, Senior Counsel, Parisa Haghshenas, Senior Counsel, or Holly Hunter-Ceci, Branch Chief, at (202) 551– 6825 (Division of Investment Management, Chief Counsel’s Office). SUPPLEMENTARY INFORMATION: The following is a temporary order and a summary of the application. The complete application may be obtained via the Commission’s Web site by searching for the file number, or an applicant using the Company name box, at https://www.sec.gov/search/ search.htm, or by calling (202) 551– 8090. HEARING OR NOTIFICATION OF HEARING: Applicants’ Representations 1. As set forth below, the Applicants collectively serve as investment adviser (as defined in section 2(a)(20) of the Act) to 90 investment management companies registered under the Act or series thereof and to two employees’ securities companies (‘‘ESCs’’), and as principal underwriter (as defined in section 2(a)(29) of the Act) to eight open-end registered investment companies under the Act (‘‘Open-End Funds’’) (each a ‘‘Fund,’’ collectively, ‘‘Funds’’). 2. UBS AG, a company organized under the laws of Switzerland, is a E:\FR\FM\27MYN1.SGM 27MYN1

Agencies

[Federal Register Volume 80, Number 101 (Wednesday, May 27, 2015)]
[Notices]
[Page 30297]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-12960]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange Commission will hold a Closed Meeting on Thursday, May 28, 
2015 at 2 p.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the 
Commission, and recording secretaries will attend the Closed Meeting. 
Certain staff members who have an interest in the matters also may be 
present.
    The General Counsel of the Commission, or her designee, has 
certified that, in her opinion, one or more of the exemptions set forth 
in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 
200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the 
scheduled matter at the Closed Meeting.
    Commissioner Aguilar, as duty officer, voted to consider the items 
listed for the Closed Meeting in closed session.
    The subject matter of the Closed Meeting will be:
    Institution of injunctive actions;
    Institution and settlement of administrative proceedings;
    Opinion; and
    Other matters relating to enforcement proceedings.
    At times, changes in Commission priorities require alterations in 
the scheduling of meeting items.
    For further information and to ascertain what, if any, matters have 
been added, deleted or postponed, please contact the Office of the 
Secretary at (202) 551-5400.

    Dated: May 21, 2015.
Lynn M. Powalski,
Deputy Secretary.
[FR Doc. 2015-12960 Filed 5-22-15; 4:15 pm]
 BILLING CODE 8011-01-P
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