UBS Wealth Management UK Complaints process

We are here to help

We want to make sure you are completely happy with the service we give you. If you are not, we will do everything we can to deal with any problems. We will:

treat you fairly
respond promptly
investigate your complaint impartially

How to complain

You can complain however you feel comfortable: by letter, by e-mail or by speaking to any contact at UBS. You can complain by completing the Contact Form.

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Legal notes

The data entered into this form is transmitted encrypted to UBS via the internet. Nevertheless, in order to maintain discretion, please do not include any confidential data such as account numbers. Via this form UBS does not accept any instructions for business transactions such as the opening of accounts, payment orders, trading orders, revocations of orders or authorizations, blocking of credit cards, changes of address, etc. Please contact the appropriate office or your client advisor for such transactions.

By providing your telephone number and/or e-mail address above you expressly approve UBS contacting you via telephone and/or via unsecured e-mail.

Please note: The use of e-mail can involve substantial risks such as lack of confidentiality, potential manipulation of contents or sender's address, wrong recipient, viruses etc. UBS assumes no responsibility for any loss or damage resulting from the use of e-mails. UBS recommends in particular that you do not send any sensitive information, that you do not include details of the previous message in any reply, and that you enter e-mail addresses manually every time you write an e-mail.

Privacy Disclaimer

This communication is issued by UBS and/or its subsidiaries and/or its affiliates ("UBS", "We").
In the context of the above form, we collect and process the information which is requested in the fields therein ("Personal Data"). We collect and process your Personal Data for the purpose of engaging in prospecting and business development and / or protecting and enhancing the UBS brand (the "Purpose"). Based on your consent, UBS may collect details of your interaction with e-mails that we send to you for client relationship management and / or business development purposes (such as whether you open e-mails and what content you are interested in), including to evaluate whether and how we may offer products, services and events that may be of interest to you. Your Personal Data may be shared with and processed by UBS Group companies and service providers to carry out the Purpose. We will retain your Personal Data for as long as required to fulfil the Purpose.
For more information about how UBS processes your data including how we protect your data, your rights in respect of your data and contact details of the Group DP Office, please refer to our Privacy statement

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I confirm that I have understood the aforementioned legal notices and have read, understood and accepted the statement of risks, the terms and conditions of use and the data protection statement relating to the website of UBS AG.

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I agree to UBS collecting details of my interaction with UBS emails and analyzing these in connection with other information UBS might hold about me to personalize their offer to my interests. If you have previously allowed UBS to track your interactions, then we will continue to do so until you revoke your consent from the profile page available at the end of our newsletters or by raising a data subject request.

Or you can contact the Complaints Handling Unit directly:

The Complaints Handling Unit
UBS AG London Branch
Wealth Management
5 Broadgate
London
EC2M 2QS

You might be able to complain to the Financial Ombudsman Service.

Although we welcome all feedback from customers, unfortunately we can only address complaints from clients and prospects of UBS Wealth Management UK, including UBS SmartWealth. If your concern relates to another part of UBS, you should contact them directly via our:

global contacts page

What happens when you complain

There is more detail in our Complaints Procedure brochure, but these are the main steps.

We will try to sort it out straight away

We will write to you promptly

If we have been able to sort things out straight away, we will write to confirm and let you know about the Financial Ombudsman Service (a 'Summary Resolution Communication').

If we need more time to look into what happened, the Complaints Handling Unit will write to you promptly to acknowledge your concerns.

We will give you the name and contact details of the person who will be looking into your complaint, and we will tell you what happens next.

We will investigate

We will send you a ‘Final Response’ letter

We always aim to respond to your complaints as soon as possible. However, depending on the type of query, this can sometimes take longer.

If your complaint relates to a Payment Service, responses may take up to 15 business days (or 35 days if there are exceptional circumstances).

For any other type of complaint, responses may take up to eight weeks. Where we are unable to respond during this time we will contact you with an update.

If you are not happy, you might be able to refer your complaint to the Financial Ombudsman Service (FOS).

Getting in touch with the Financial Ombudsman Service

The Financial Ombudsman Service can usually look into a complaint if:

We have already sent you a Summary Resolution Communication or Final Response letter.
It has been eight weeks since we received your complaint.

If you are not happy with our response and want to complain to the Financial Ombudsman Service, you should do so within six months of the date of the Summary Resolution Communication or Final Response letter.

The service is free and you can contact them directly:

Financial Ombudsman Service
Exchange Tower
London
E14, 9SR
Freephone 0800 0234567 (or +44 20 7964 0500 from outside the UK)
www.financial-ombudsman.org.uk
e-mail: complaint.info@financial-ombudsman.org.uk
You can read more about what the Financial Conduct Authority expects of us when handling complaints, here.

To find out more about the work of the Financial Ombudsman Service, visit their website

Online Dispute Resolution

The European Commission has established an Online Dispute Resolution Platform (ODR Platform) which you can access here. You may use the ODR Platform to submit a contractual dispute and conduct an Alternative Dispute Resolution procedure online if you are resident in the EU and have a complaint about an online product or service. The platform will then send your complaint to the Financial Ombudsman Service (“FOS”) for an independent review which you should expect to be completed within 90 days of the FOS’s receipt of your complaint file.

As the ODR platform will ultimately re-direct your complaint to FOS, you may prefer to contact us or FOS directly in the first instance.

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