April 30, 2013 Decisions and Freeze and cease trade orders

In March 2013, UBS Investment Management Canada Inc. and the Autorité des marchés financiers ("AMF") entered into an administrative agreement for the purpose of normalizing a file maintained by the firm regarding the initial registration application of an associate advising representative.

UBS Investment Management Canada Inc. fully co-operated in this matter and agreed to sort out the situation through registration of the representative concerned and the payment of $5,000 to the AMF.