Ubs Investment Advisory Agreement

*Services and implementation options vary depending on the advisory program you choose By adding a UBS advisory program to your investment portfolio, you can take advantage of:* Entrust investment decisions to professionals who put your interests first. A UBS CAP portfolio offers the simplicity of consolidation and creates a single approach for all your advisory assets, where you can bring together a variety of your subsidiaries as long as they share the same risk profile and investment objectives. UBS Strategic Advisor is a non-discretionary advisory program that provides you with ongoing advice, guidance and flexibility. Strife. UBS Financial Services Inc. is active in the creation and maintenance of investment accounts (including retirement accounts) and we receive from you remuneration in connection with the investments you have made as well as additional remuneration from third parties whose investments we sell. This constitutes a conflict of interest if we recommend that you transfer your assets from another financial institution or employer to UBS and if we make investment recommendations for assets you hold from UBS or purchase through UBS. For more information on how we are remunerated by clients and third parties, conflicts of interest and investments available from UBS, please see the brochure “Your relationship with UBS” under or request a copy from your UBS financial advisor. To determine which program meets your individual needs, contact your UBS financial advisor or find a UBS financial advisor. Further information on our investment advisory programmes, including fees, client suitability and programme characteristics, can be found in the UBS Form ADV Disclosure brochure. Information on these other investment advisory programs can be found in the information brochures at UBS Strategic Wealth Portfolio is a unified, non-discretionary advisory account that offers the ability to combine separately managed accounts, mutual funds and exchange-traded funds into a single account.

UBS ACCESSSM and Managed Accounts Consulting are advisory programs in which affiliated and non-affiliated investment advisors manage client accounts at their sole discretion. UBS offers a variety of investment advisory programs, including non-discretionary and discretionary offerings, to help you achieve your financial goals. A UBS financial advisor acts as a personal portfolio manager with discretion in the purchase and sale of the securities in your advisory account. UBS PACESM (Personalized Asset Consulting and Evaluation) – A UBS financial advisor will work with you to provide you with an asset allocation based on your investment objectives and risk tolerance, and then help you evaluate and select mutual funds for your portfolio. UBS Financial Advisors strives to understand your individual financial goals and develop tailored investment strategies to help you achieve them. The UBS Advisor Allocation Program (AAP) is a discretionary advisory program in which your financial advisor sets a target allocation and chooses from mutual funds, exchange-traded funds and account strategies managed separately by affiliated and disconnected investment managers. Personalized recommendations or advice. If you would like more information about the information provided or personalised recommendations or advice, please contact your UBS financial advisor. UBS maintains supplementary insurance in addition to standard SIPC account protection. Subject to the terms and restrictions of the policy, cash holdings are protected up to a maximum of $1.9 million for all your accounts held in a particular capacity with UBS Financial Services Inc.

Du 10. As of December 2019, the maximum amount payable to all clients of UBS Financial Services Inc. under the additional policy is $500 million. A full copy of the text of the Directive is available on request. For more information, see the SEC`s Privacy and Security Policy. Thank you for your interest in the U.S. Securities and Exchange Commission. . Note that this policy may change if the SEC manages to to ensure that the site operates efficiently and remains available to all users. Unauthorized attempts to upload information and/or modify information on any part of this website are strictly prohibited and subject to prosecution under the Computer Fraud and Abuse Act of 1986 and the National Information Infrastructure Protection Act of 1996 (see 18 U.S.C.

§ 1001 and 1030). . No tax or legal advice. UBS Financial Services Inc., its affiliates and employees do not provide tax or legal advice. You should consult your personal tax advisor and/or legal advisor about your particular situation. If a user or application submits more than 10 requests per second, other requests from the IP address may be limited for a short time. Once the request rate drops below the threshold for 10 minutes, the user can continue to access content on This SEC practice is designed to limit excessive automated searches of and is not intended or should not affect individuals browsing the website As a UBS client, your accounts are covered by certain guarantees that would take effect in the unlikely event that UBS Financial Services Inc. . . .

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