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
Electronic Trading Terms
Additional terms that apply where you connect to our trading systems electronically:
Information about us
UBS Investment Bank: Information about UBS investment bank entities in EMEA:
Guarantee: The text of UBS AG’s guarantee in favour of counterparties of UBS Limited: View document
MiFID order handling & execution policy: Information about our MiFID order handling & execution policy: View document
Product General Procedures: Information on when, where and how we deliver best execution in the EEA for different products:
- Cash Equities: View document
- Equity Finance: View document
- ETD: View document
- Equity Derivatives: View document
- FX and precious metals: View document
- Rates and Credit: View document
- FRC clearing & execution: View document
Execution venues: A non-exhaustive list of execution venues we use: View document
Executing orders outside regulated markets and MTFs: Why we need your consent to handle your orders outside a regulated market or MTF: View document
Disclosures and Risk Warnings
CASS: Information about how we hold your assets and money required under the FCA’s "CASS" Rules. View document
Conflicts: Disclosure about the inherent conflicts of interest in our business: View document
Consequences of categorisation as an elective professional client: Disclosure for clients who have been “opted up” to elective professional client status: View document
Product Descriptions and Risk Warnings: Guidance on and warnings about the risks associated with designated investments. View document
Barrier Options: Information on our practices with respect to barrier options. View document
Canadian process agents: our Canadian process agents, required for clients who are subject to Canadian securities laws: View document
This information is not a solicitation to engage in investment activity in any jurisdiction.
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, click here.
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