Our terms of business.

When we begin business with a new client we send a welcome pack containing important information about our services, some of which is required by law. The information referred to in that pack can be found below. We may update it from time to time.

Any questions? Email our legal team in London on OL-IBTerms-EMEA@ubs.com

UBS investment bank entities in EMEA

Terms of business

Our terms of business for professional clients and eligible counterparties including country-specific provisions: View document (PDF, 183 KB)

Electronic Trading Terms

Additional terms that apply where you connect to our trading systems electronically: 
View document (PDF, 166 KB)

Information about us

UBS Investment Bank: Information about UBS investment bank entities in EMEA: 
View document (PDF, 127 KB)

Guarantee: The text of UBS AG’s guarantee in favour of counterparties of UBS Limited: View document (PDF, 165 KB)

Securities offerings

Allocations in securities offerings: The principles we apply when allocating securities offerings in our investment bank. View document (PDF, 107 KB)

Our systematic internaliser: Information about our systematic internaliser: View document (PDF, 115 KB)

Regulatory Information

MiFID order handling & execution policy: Information about our MiFID order handling & execution policy: View document (PDF, 172 KB)

MiFID order handling FAQs: Frequently asked questions about the consents and instructions we ask you to give us when handling your orders: View document (PDF, 132 KB)

Product General Procedures: Information on when, where and how we deliver best execution in the EEA for different products:

Execution venues: A non-exhaustive list of execution venues we use: View document (PDF, 131 KB)

Complaints: information about how we handle complaints about our products and services: view document (PDF, 187 KB)

Disclosures and Risk Warnings

FX Last look disclosure: Disclosure about usage of last look in our FX business: View document (PDF, 83 KB)

FX Algo disclosure: Disclosure about FX execution algorithms: View document (PDF, 86 KB)

General disclosure: General disclosure about our business, your orders and the conflicts we face in handling them: View document (PDF, 156 KB)

Conflicts of interest policy: Information on our conflicts of interest policy: View document (PDF, 114 KB)

CASS: Information about how we hold your assets and money required under the FCA’s "CASS" Rules. View document (PDF, 160 KB)

Title transfer collateral arrangements: Information about the general risks and consequences of entering into title transfer collateral arrangements: View document (PDF, 212 KB)

Consequences of categorisation as a professional client or an eligible counterparty: Disclosure for clients who “opt up” to elective professional client or eligible counterparty status: View document (PDF, 189 KB)

Product Descriptions and Risk Warnings: Guidance on and warnings about the risks associated with designated investments. View document (PDF, 172 KB)

Barrier Options: Information on our practices with respect to barrier options. View document (PDF, 144 KB)

Canadian process agents: our Canadian process agents, required for clients who are subject to Canadian securities laws: View document (PDF, 125 KB)

This information is not a solicitation to engage in investment activity in any jurisdiction.