UBS Private Clients Australia Ltd & UBS Securities Australia Ltd - Notification - N40934-N40935

Applicant(s)

  • UBS Private Clients Australia Limited
  • UBS Securities Australia Limited

Notification number(s)

  • N40934
  • N40935

Summary

UBS Private Clients Australia Limited proposes to offer ASX quoted financial products to private investors on the condition that they acquire settlement services from UBS Securities Australia Limited.

UBS Securities Australia proposes to offer to execute and settle trades in ASX quoted financial products for private investors on the condition that they have acquired ASX quoted financial products from UBS Private Clients Australia or from another broker or financial planner with whom UBS Securities Australia has entered into an execution and clearing arrangement.

Notifications

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ACCC correspondence

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