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法律问题

返回金融服务法 (FinSA)

 

请注意,此页面只提供笼统信息,并不详尽。这些信息可能会随着时间的推移进行修改和/或补充。法律允许金融中介和监管机构在两年的时间内制定和调整自己的程序和做法,以符合法律的要求。

本节内容无法涵盖所有案例或个人情况。如果您有任何疑问或需要更多信息,请与您的客户关系经理联系,或在本节内容更新后再次查看。

面向瑞联银行客户的信息


瑞联银行 (Union Bancaire Privée, UBP SA)

总行及地址:

Union Bancaire Privée, UBP SA
96–98 Rue du Rhône
P. O. Box 1320
1211 Geneva 1
Switzerland
电话:+ 41 58 819 21 11
www.ubp.com

瑞士的分支机构巴塞尔卢加诺苏黎世

活动:财富和资产管理

法律形式:根据瑞士法律成立,并在日内瓦州商业登记处登记的股份有限公司

监管机构:瑞士金融市场监管局 (FINMA)

授权:根据银行和储蓄银行法,由 FINMA 授权成为银行


调解机构

如果与本银行发生冲突,客户可在与本银行进行沟通之后,在诉诸法律程序之前,向瑞士银行业监察专员申请调解。监察专员将在收取适度费用(甚至免费)的情况下,对争议进行评估,并充当双方之间的中立调解人。

地址:

瑞士银行业监察专员
Bahnhofplatz 9
P.O.Box
8021 Zurich
Switzerland


有关金融服务的信息

瑞联银行提供众多金融服务,包括:

  • 全权委托资产管理服务:客户向本银行提供一份委托书,以便根据在客户投资资料中议定的预设参数管理其资产。本银行将做出投资决策。
  • 咨询服务:客户签署一份委托书,以接受相关建议。这些建议涵盖整个投资组合,并基于与客户在投资资料中议定的预设参数。本银行将推荐一种或多种金融工具,最终投资决策则由客户做出。
  • 仅执行服务:客户发出投资指令,本银行负责执行这些指令。

在开户阶段,本银行将通过提供收费表(这是“一般条件”中必不可少的组成部分),告知客户与所提供金融服务相关的费用。

KID 和基金招募说明书中提供了与金融工具相关的费用的其他信息(如果适用于相关工具的类型)。

在任何情况下,都会在交易建议中标明交易费用。


与金融工具有关的一般风险

为了阐明与金融工具有关的风险,本银行已在网站上发布了个别金融业务的特征和风险手册(正在更新),并将在客户开户时提供给他们。

瑞士银行家协会也发布了有关风险的手册,金融工具交易所涉及的风险

欢迎客户与其客户关系经理联系,以获得有关任何特定金融工具、其特殊性或风险的阐释及详情。


与提议金融服务相关的第三方业务联系

瑞联银行与第三方有业务联系,可从中获得利益和/或报酬。本银行已实施旨在避免利益冲突的业务政策


关键信息文档 (KID)

瑞联银行网站提供了指向 KID 和基金信息的链接。


Base Prospectus

This Base Prospectus is not and does not purport to be considered as an offer, invitation, recommendation or solicitation to conclude a transaction, acquire any Product or enter into any legal relations, and should not be treated as providing financial service or investment advice.

Neither the Products, nor the Base Prospectus associated with them may be offered or distributed in any jurisdiction where such action is contrary to local law and/or the local regulations in force, or to any person to whom it would be unlawful to make such an offer or solicitation. No action has been or will be taken by Union Bancaire Privée, UBP SA that would permit a public offering or possession or distribution of the Products or any material in relation to the Products in any jurisdiction, including Switzerland unless otherwise defined in the Final Terms of a particular Product, in which action for that purpose is required. It is incumbent upon clients to ensure that they are allowed to access the Product information.

The Products may not be offered or sold in the United States of America or to U.S. persons at any time (as defined in Regulation S under the U.S. Securities Act of 1933, the CEA or the U.S. Internal Revenue Code). The Products have not been and will not be registered under the U.S. Securities Act of 1933, as amended, or the securities laws of any state in the United States and may be subject to United States tax requirements. The Products have also not been approved by the Commodity Futures Trading Commission nor are the Products intended for any U.S. Person as such term is defined for any purpose under the United States Commodity Exchange Act of 1936, as amended. A. In purchasing any Product, the investors represent and warrant that they are neither located in the United States of America nor U.S. persons and that they are not purchasing for the account or benefit of any such person. The Products may not be offered, sold, transferred or delivered without compliance with all applicable securities laws and regulations. 

Clients are invited to carefully read Product documentation, namely this Base Prospectus, which may be amended or supplemented from time to time, together with the relevant Final Terms prepared for a particular Product containing the full legally binding terms and conditions.

返回金融服务法 (FinSA)