Regulatory information

Global

Complaints handling

UBS Asset Management takes complaints seriously. Upon receipt of a complaint, we ensure that it is properly investigated and treated fairly. Primarily, we ask you to raise your complaint directly with your UBS contact, Client Relationship Manager or Client Advisor.

An acknowledgement will be sent to you promptly upon receipt of your complaint and you will be kept up to date with the progress of your query.

Alternatively, you may raise a complaint using the relevant region or country email link below:

Americas

APAC

EMEA

MiFID II

Best execution

Top five counterparties and venues reports in terms of trading volumes

Below we provide the top five counterparties and venues we relied upon when executing and placing client orders in the market during 2017:

If you require further information about our Best Execution and Order Handling policy, please get in touch with your usual UBS Asset Management contact or visit our Contact us page.

Minor non-monetary benefits

Below we provide information about minor non-monetary benefits received from third parties by UBS Asset Management EEA legal entities and UBS AG (Switzerland) in relation to investment and ancillary services.

Third parties in this context includes, among others, external product providers as well as external financial intermediaries. These minor non-monetary benefits generally enhance the service quality for the client and do not impair UBS Asset Management's duty to act in the best interest of the client.In general, the categories of minor non-monetary benefits which UBS AM EEA legal entities and UBS AG can receive include, without limitation:

Categories of Minor Non-Monetary Benefits

Generic documentation:

  • Instrument or financial service documentation e.g. asset class updates, fund presentations
  • Third-party investment research or market updates with little or no opinion
  • Commentary summarising public news stories or public statements from corporate issuers

Events:

  • Tickets for conferences, seminars, training etc. provided and/or received for free (in line with Gifts & Business Entertainment thresholds)

Hospitality of a reasonable de minimis value:

  • Food & drink provided during business meetings (in line with Gifts & Business Entertainment thresholds)
  • Small gifts provided during business meetings e.g. pens, chocolates etc. (in line with Gifts & Business Entertainment thresholds)

Other minor non-monetary benefits:

  • Research trial periods with 3 month limit
  • Free trials for software / hardware with 3 month limit 

Non-minor non-monetary benefits

UBS Asset Management will no longer accept or provide any non-minor non-monetary benefits.