Employee Benefits Security Administration September 2019 – Federal Register Recent Federal Regulation Documents

Proposed Exemption From Certain Prohibited Transaction Restrictions Involving UBS Asset Management (Americas) Inc.; UBS Realty Investors LLC; UBS Hedge Fund Solutions LLC; UBS O'Connor LLC; and Certain Future Affiliates in UBS's Asset Management and Global Wealth Management U.S. Divisions (Collectively, the Applicants or the UBS QPAMs) Located in Chicago, Illinois; Hartford, Connecticut; New York, New York; and Chicago, Illinois, Respectively
Document Number: 2019-21124
Type: Notice
Date: 2019-09-30
Agency: Employee Benefits Security Administration, Department of Labor
This document provides notice of the pendency before the Department of Labor (the Department) of a proposed individual exemption from certain of the prohibited transaction restrictions of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code). If this proposed exemption is granted, certain entities with specified relationships to UBS AG (UBS), UBS Securities Japan and UBS France will not be precluded from relying on the exemptive relief provided by Prohibited Transaction Class Exemption 84-14.
198th Meeting of the Advisory Council on Employee Welfare and Pension Benefit Plans; Notice of Teleconference Meeting
Document Number: 2019-18967
Type: Notice
Date: 2019-09-03
Agency: Employee Benefits Security Administration, Department of Labor