80 FR 30297 - Sunshine Act Meeting
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 101 (May 27, 2015)
Federal Register Volume 80, Issue 101 (May 27, 2015)
| Page Range | 30297-30297 | |
| FR Document | 2015-12960 |
[Federal Register Volume 80, Number 101 (Wednesday, May 27, 2015)] [Notices] [Page 30297] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-12960] ----------------------------------------------------------------------- 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
![Federal Register / Vol. 80, No. 101 / Wednesday, May 27, 2015 / Notices 30297
enforcement agencies addressing the Institution and settlement of HEARING OR NOTIFICATION OF HEARING: An
Conduct. administrative proceedings; order granting the application will be
5. Applicants will provide written Opinion; and issued unless the Commission orders a
notification to the Chief Counsel of the Other matters relating to enforcement hearing. Interested persons may request
Commission’s Division of Investment proceedings. a hearing by writing to the
Management with a copy to the Chief At times, changes in Commission Commission’s Secretary and serving
Counsel of the Commission’s Division of priorities require alterations in the Applicants with a copy of the request,
Enforcement of a material violation of scheduling of meeting items. personally or by mail. Hearing requests
the terms and conditions of any of the For further information and to should be received by the Commission
Orders within 30 days of discovery of ascertain what, if any, matters have been by 5:30 p.m. on June 15, 2015, and
the material violation. added, deleted or postponed, please should be accompanied by proof of
Temporary Order contact the Office of the Secretary at service on Applicants, in the form of an
(202) 551–5400. affidavit, or for lawyers, a certificate of
The Commission has considered the service. Pursuant to rule 0–5 under the
Dated: May 21, 2015.
matter and finds that Applicants have Act, hearing requests should state the
made the necessary showing to justify Lynn M. Powalski,
nature of the writer’s interest, any facts
granting a temporary exemption. Deputy Secretary.
bearing upon the desirability of a
Accordingly, [FR Doc. 2015–12960 Filed 5–22–15; 4:15 pm]
hearing on the matter, the reason for the
It is hereby ordered, pursuant to BILLING CODE 8011–01–P request, and the issues contested.
section 9(c) of the Act, that the Persons who wish to be notified of a
Applicants and any other Covered hearing may request notification by
Persons are granted a temporary SECURITIES AND EXCHANGE
writing to the Commission’s Secretary.
exemption from the provisions of COMMISSION
ADDRESSES: Secretary, U.S. Securities
section 9(a), solely with respect to the
[Release No. IC–31612; File No. 812–14465] and Exchange Commission, 100 F
guilty plea entered into pursuant to the
Street, NE., Washington, DC 20549–
Plea Agreement, subject to the UBS AG, et al.; Notice of Application 1090; Applicants: UBS AG and ESC GP:
representations and conditions in the and Temporary Order c/o UBS Investment Bank, 677
application, from June 15, 2015 until the
Washington Boulevard, Stamford, CT
Commission takes final action on their May 20, 2015.
06901; UBS Alternative: 677
application for a permanent order. AGENCY: Securities and Exchange
Washington Boulevard, Stamford, CT
By the Commission. Commission (‘‘Commission’’)
06901; UBS O’Connor and UBS Global
Jill M. Peterson, ACTION: Temporary order and notice of AM Americas: One North Wacker Drive,
Assistant Secretary. application for a permanent order under Chicago, IL 60606; UBS Global AM US:
[FR Doc. 2015–12756 Filed 5–26–15; 8:45 am]
section 9(c) of the Investment Company 1285 Avenue of the Americas, 12th
Act of 1940 (‘‘Act’’). Floor, New York, NY 10019.
BILLING CODE P
FOR FURTHER INFORMATION CONTACT:
SUMMARY OF APPLICATION: Applicants
David Joire, Senior Counsel, Parisa
SECURITIES AND EXCHANGE have received a temporary order
Haghshenas, Senior Counsel, or Holly
COMMISSION (‘‘Temporary Order’’) exempting them
Hunter-Ceci, Branch Chief, at (202) 551–
from section 9(a) of the Act, with
6825 (Division of Investment
Sunshine Act Meeting respect to a guilty plea entered on May
Management, Chief Counsel’s Office).
20, 2015, by UBS AG (‘‘UBS AG’’ or the
Notice is hereby given, pursuant to SUPPLEMENTARY INFORMATION: The
‘‘Settling Firm’’) in the United States
the provisions of the Government in the District Court for the District of following is a temporary order and a
Sunshine Act, Public Law 94–409, that Connecticut (the ‘‘District Court’’) in summary of the application. The
the Securities and Exchange connection with a plea agreement (‘‘Plea complete application may be obtained
Commission will hold a Closed Meeting Agreement’’) between the Settling Firm via the Commission’s Web site by
on Thursday, May 28, 2015 at 2 p.m. and the United States Department of searching for the file number, or an
Commissioners, Counsel to the Justice (‘‘DOJ’’), until the Commission applicant using the Company name box,
Commissioners, the Secretary to the takes final action on an application for at http://www.sec.gov/search/
Commission, and recording secretaries a permanent order (the ‘‘Permanent search.htm, or by calling (202) 551–
will attend the Closed Meeting. Certain Order,’’ and with the Temporary Order, 8090.
staff members who have an interest in the ‘‘Orders’’). Applicants also have Applicants’ Representations
the matters also may be present. applied for a Permanent Order.
The General Counsel of the 1. As set forth below, the Applicants
APPLICANTS: UBS AG (‘‘UBS AG’’ or the collectively serve as investment adviser
Commission, or her designee, has
certified that, in her opinion, one or ‘‘Settling Firm’’), UBS IB Co-Investment (as defined in section 2(a)(20) of the
more of the exemptions set forth in 2001 GP Limited (‘‘ESC GP’’), UBS Act) to 90 investment management
5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) Alternative and Quantitative companies registered under the Act or
and 17 CFR 200.402(a)(3), (5), (7), 9(ii) Investments LLC (‘‘UBS Alternative’’), series thereof and to two employees’
and (10), permit consideration of the UBS O’Connor LLC (‘‘UBS O’Connor’’), securities companies (‘‘ESCs’’), and as
UBS Global Asset Management
mstockstill on DSK4VPTVN1PROD with NOTICES
scheduled matter at the Closed Meeting. principal underwriter (as defined in
Commissioner Aguilar, as duty (Americas) Inc. (‘‘UBS Global AM section 2(a)(29) of the Act) to eight
officer, voted to consider the items Americas’’), and UBS Global Asset open-end registered investment
listed for the Closed Meeting in closed Management (US) Inc. (‘‘UBS Global companies under the Act (‘‘Open-End
session. AM US’’) (each an ‘‘Applicant’’ and Funds’’) (each a ‘‘Fund,’’ collectively,
The subject matter of the Closed together, the ‘‘Applicants’’). ‘‘Funds’’).
Meeting will be: FILING DATE: The application was filed 2. UBS AG, a company organized
Institution of injunctive actions; on May 20, 2015. under the laws of Switzerland, is a
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Document Created: 2015-12-15 15:36:12
Document Modified: 2015-12-15 15:36:12
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| FR Citation | 80 FR 30297 |
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