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

Americas

APAC

EMEA

Best execution

MiFID II

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 2018:

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.

FIDLEG

Ombudsman's office

Ensuring the satisfaction of our clients is our priority. Should we fail to fully meet your expectations, please contact us, so that we can find a way to resolve the issue together. If we are still unable to resolve the issue, you can – as soon as UBS Asset Management is affiliated with – contact the ombudsman's office, a neutral and inexpensive or free information and mediation office. As a general rule, the ombudsman only intervenes after a financial service provider received and responded to a written client complaint.

UBS Asset Management is – due to the new FIDLEG and the respective regulatory transition period – currently not able to affiliate with an ombudsman's office because no corresponding office is yet recognized or established. As soon as this status changes, UBS Asset Management will update this webpage and provide all relevant information with respect to the ombudsman's office affiliated with.

Risk Brochure

FIDLEG Info Sheet: EN (PDF, 72 KB) / DE (PDF, 77 KB) / FR (PDF, 79 KB) / IT (PDF, 74 KB)

Client Classification Change form (Opt-in / Opt-out): EN (PDF, 271 KB) / DE (PDF, 352 KB) / FR (PDF, 228 KB) / IT (PDF, 221 KB)

Clients serviced by UBS Asset Management

Please note that UBS Asset Management does not render financial services to retail clients. If you wish to change your existing status to retail, then please contact your client relationship manager as we will either need to terminate your contract, or would be happy to assist you with transferring to an alternative provider of your choice including, but not limited to, UBS Wealth Management.

Relevant for

UBS AG
Bahnhofstrasse 45, CH-8001 Zürich 
Aeschenvorstadt 1, CH-4002 Basel

UBS Asset Management Switzerland AG
Stockerstrasse 64, CH-8098 Zürich