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Regulatory Directory

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Listed below are Execution and Order Handling policies and information for a number of jurisdictions where UBS executes. 

  • Hong Kong and Singapore
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  • US
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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 NYSE, FINRA and SIPC.

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