Union Bancaire Privée, UBP SA, Jersey Branch

Law Section Classes

Investment Business (IB)

A

Dealing in investments

B

Managing investments

C

Giving investment advice when not prevented from holding client assets by virtue of a condition of registration.

Banking (DC)

DC

Default class for DC Banking Law Section

Fund Services Business (FSB)

Y

Investment Advisor

ZA

Subscription Agent

ZB

Redemption Agent

ZH

Custodian

Money Service Business (MSB)

2

Notified

Investment Business Employees

SM – Senior Management
IE - Investment Employee
Both - Senior Management and Investment Employee