INVESTMENT COMPANY ACT RELEASES - UBS AG, et al. 

INVESTMENT COMPANY ACT RELEASES - UBS AG, et al.

Dec 20, 2012 (Menafn - SECURITIES AND EXCHANGE COMMISSION RELEASE/ContentWorks via COMTEX) --A temporary order has been issued to UBS AG, et al. under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to a guilty plea entered on December 19, 2012, by UBS Securities Japan Co., Ltd. (Settling Firm) in the U.S. District Court for the District of Connecticut in connection with a plea agreement between the Settling Firm and the U.S. Department of Justice. The temporary order exempts applicants and companies of which the Settling Firm is or becomes an affiliated person from the provisions of Section 9(a) of the Act until the Commission takes final action on an application for a permanent order or, if earlier, February 15, 2013. (Rel. IC-30311 - December 19)

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