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.
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
| Document title | Date | |
|---|---|---|
| Lodgement |
ACCC correspondence
| Document title | Date | |
|---|---|---|
| ACCC to Counsel re Immunity Not Revoked |