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Clearing and Execution

Important documentation

Regulatory information:

References in these documents to EU regulations also refer to corresponding UK regulations after Brexit.

General

Pricing Guidelines for Listed Products and OTC Derivatives Clearing Services pdf, 342 KB

UBS Europe SE

  • UBS Europe SE – EMIR Disclosure document Art 39-7 pdf, 340 KB
  • FIA – CM Disclosure Document – UBS Europe SE pdf, 356 KB
  • Terms and Conditions – UBS Europe SE to End Clients pdf, 129 KB
  • Terms and Conditions – UBS Europe SE to Intermediaries pdf, 106 KB
  • UBS Europe SE – FIA – DC – Disclosure Document pdf, 297 KB

UBS AG

  • UBS AG EMIR document Art-39-7 pdf, 289 KB
  • Terms and Conditions - UBS AG to End Clients pdf, 128 KB
  • UBS –AG FIA –DC disclosure document pdf, 332 KB
  • Terms and Conditions – UBS AG to Intermediaries pdf, 106 KB
  • FIA – CM Disclosure Document – UBS AG pdf, 323 KB

UBS AG Zurich

UBS AG Zurich - Terms and Conditions pdf, 90 KB

UBS Securities LLC

  • UBS Securities LLC – EMIR disclosure document Art 39-7 pdf, 179 KB
  • Client sales and on-boarding criteria pdf, 128 KB
  • UBS Securities – FCM Clearing Member Disclosure Statement and T&C pdf, 319 KB

Legal documentation:

  • UBS Exchange Annexes pdf, 205 KB
  • CCP Specific Appendices pdf, 123 KB
  • Non-Segregated Markets pdf, 68 KB

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The products, services, information and/or materials contained within these web pages may not be available for residents of certain jurisdictions. Please consult the sales restrictions relating to the products or services in question for further information. Activities with respect to US securities are conducted through UBS Securities LLC, a US broker dealer. Member of SIPC.

For information as to which entity provides the services in each jurisdiction, see Disclaimer above.
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