Sunshine Act Meeting, 30297 [2015-12960]
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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
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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;
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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
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[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
