Top five counterparties and venues reports in terms of trading volumes
Below we provide the top five counterparties and venues we relied upon when executing and placing client orders in the market during 2020:
Below we provide the top five counterparties and venues we relied upon when executing and placing client orders in the market during 2019:
If you require further information about our Best Execution and Order Handling policy, please get in touch with your usual UBS Asset Management contact or visit our Contact us page.
UBS Asset Management Switzerland AG and its supervisory authority
UBS Asset Management Switzerland AG is a wholly owned subsidiary of UBS Group AG and is supervised by the Swiss Financial Market Supervisory Authority (FINMA).
Contact FINMA
Swiss Financial Market Supervisory Authority FINMA
Laupenstrasse 27
3003 Bern
Phone: +41 (0)31 327 91 00
Finma contact: https://finma.ch/en/contact/
Ombudsman's office
Ensuring the satisfaction of our clients is our priority. Should we fail to fully meet your expectations, please contact us, so that we can find a way to resolve the issue together. If we are still unable to resolve the issue, you can contact the OFD, a neutral and inexpensive or free information and mediation office. As a general rule, the ombudsman only intervenes after UBS Asset Management received and responded to a written client complaint.
Verein Ombudsstelle
Finanzdienstleister (OFD)
Bleicherweg 10
CH-8002 Zürich
Phone +41 (0)44 562 05 25
E-Mail: ombudsmann@ofdl.ch
Website: www.ofdl.ch
Risk Brochure EN
/ DE / FR / IT
FIDLEG Info Sheet:EN / DE / FR / IT
Client Classification Change form (Opt-in / Opt-out):EN / DE / FR / IT
Clients serviced by UBS Asset Management
Please note that UBS Asset Management does not render financial services to retail clients. If you wish to change your existing status to retail, then please contact your client relationship manager as we will either need to terminate your contract, or would be happy to assist you with transferring to an alternative provider of your choice including, but not limited to, UBS Wealth Management.
Relevant for
UBS AG
Bahnhofstrasse 45, CH-8001 Zürich
Aeschenvorstadt 1, CH-4002 Basel
UBS Asset Management Switzerland AG
Europaallee 21, CH-8004 Zürich
The sustainability-related disclosures in the financial services sector (EU 2019/2088) requires UBS Asset Management to make certain disclosures on our policies and procedures as well as on the financial products that we offer. Here you can find an overview of these disclosures.
Sustainability risk policy & principle adverse impacts
Below we provide information on how we integrate sustainability risks into the investment process and how we consider principle adverse impacts including due diligence policies, engagement policies & adherence to responsible business codes:
Remuneration policy
Our policy on the integration of sustainability risks into our remuneration process is at UBS Group level, you can find this policy below:
For details on which specific UBS AM entities are subject to SFDR, the extent to which and how they have adopted such policies and procedures please click here.
According to the requirements under the Art. 10 SFDR, the financial market participants are required to disclose the information on website for products (including mandates) in scope of Art.8 and Art. 9. Due to the nature of our discretionary mandate offering, which is based on providing tailor-made solutions to our clients, specific information can be found in the Investment Management or Advisory agreement.
However, for further information related to information on the description of the environmental or social characteristics, methodologies used to assess, measure and monitor the environmental or social characteristics or the impact of the sustainable investments selected for the financial product, please refer to the UBS AM Sustainable Investment Policy, and for ESG information on fund level please visit:
