Exemption for Certain UBS AG (UBS) Asset Managers Located in Zurich, Switzerland
This exemption allows current and future UBS-related asset managers to continue to rely on Prohibited Transaction Exemption (PTE) 84-14, from May 5, 2026, to May 5, 2035, if certain conditions are met, notwithstanding four convictions and one non-prosecution agreement involving affiliated entities of UBS.
What this item does
The short version, using the agency's own summary text.
This exemption allows current and future UBS-related asset managers to continue to rely on Prohibited Transaction Exemption (PTE) 84-14, from May 5, 2026, to May 5, 2035, if certain conditions are met, notwithstanding four convictions and one non-prosecution agreement involving affiliated entities of UBS.
Notice of exemption.
Important dates
The dates that matter most for this item.
Published
May 4, 2026
Starts
May 5, 2026
Who published it
The agencies listed in the official filing.