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UBS AG's Unit To Pay $5.3 Million To Settle SEC Charge-Reuters

Tuesday, 4 Jun 2013 01:39am EDT 

Reuters reported that A UBS AG hedge fund agreed to pay a fine of $5.3 million to settle a charge that one of its units bought stocks in public offerings that an affiliated unit was shorting, the U.S. securities regulator said. The U.S. Securities and Exchange Commission (SEC) said UBS AG's hedge fund, UBS O'Connor LLC, violated a rule governing short sales 16 times between January 2009 and March 2011. 

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