Welcome to UBS FinSA Regulatory information page.
Please don't hesitate to contact us at ubs-FinsaIB-Outreach@ubs.com if you have any additional questions regarding the FinSA Regulation.
The Swiss Financial Services Act entered into force on 1 January 2020. The aims of FinSA include strengthening investor protection and establishing comparable standards for financial service providers. Please note that UBS AG will make use of the regulatory transition periods to implement FinSA duties regarding the rules of conduct and the organizational measures.
FinSA combines elements of the EU MiFID II Investor Protection regulation, the EU PRIIPs/KID regulation and the EU Prospectus Directive.
FinSA requires a client classification that ensures additional regulatory protection and is based upon a client’s individual financial circumstances and/or level of knowledge, experience and financial expertise as well as the size of the company defined by law or professional treasury. Should you require further information regarding Client Classification please contact ubs-FinsaIB-Outreach@ubs.com
FAQs, Disclosures & Ombudsman
Swiss Bankers Association (SBA) Booklet "Risks Involved in Trading Financial Instruments"
Transactions with financial instruments are associated with opportunities and risks. It is therefore important that you are familiar with and understand these risks before using a financial service.
The new brochure “Risks Involved in Trading Financial Instruments” contains general information on typical financial services and on the characteristics and risks of financial instruments.
The new risk brochure can be found here: SBA Booklet "Risks Involved in Trading Financial Instruments"
We are not satisfied until you are. If we fail to meet your expectations at any time, please contact your UBS sales representative. Together we will find a way to resolve the issue.
You will find detailed information on our complaints process via the following link: Feedback and complaints
If we are unable to find an amicable solution, you can – as soon as UBS AG is affiliated with – contact the ombudsman's office, for neutral and inexpensive or free information and mediation.
UBS AG is currently not able to affiliate with an ombudsman office because no corresponding office is yet recognized or established. As soon as this status changes, UBS AG will update this webpage and provide all relevant information.