Grant Notices

PTE 2020-01; D-11988

G: 85 FR 8020 (2/12/20)
P: 84 FR 51621 (9/30/19)

UBS Assets Management (Americas) Inc.; UBS Realty Investors LLC; UBS Hedge Fund Solutions LLC; UBS O’Connor LLC; and Certain Future Affiliates in the UBS AG (UBS) Asset Management and Global Wealth Management U.S. Divisions

Permits, for the period February 20, 2020 through February 20, 2025, certain entities with specified relationships to UBS to continue to rely on the exemptive relief provided by PTE 84–14, notwithstanding: (1) the 2013 criminal conviction of UBS Securities Japan Co. Ltd., (2) the 2017 criminal conviction of UBS, and (3) the 2019 criminal conviction of UBS (France) S.A. and UBS.