UBS AG, Mumbai Branch 10th Floor, Ceejay House, Plot F, Shivsagar Estate, Dr Annie Besant Road, Worli, Mumbai 400 018 Ph: 022 6777 3400 Fax: 022 6777 3600

Mr. Kishor Shahi Ph : 022 6777 3436 Fax: 022 6777 3600 Email

Exchange Traded Funds: Key Investor Information Documents

Q: Branch Manager, Mumbai

Mr. Sandeep Agarwal Ph: 022 6777 3511 Fax: 022 6777 3600 Email

Q: Chief Operating Officer

Mr Ronak Vasa Ph: 022 6777 3621 Fax: 022 6777 3600 Email

Q: Branch Compliance Officer, Mumbai

Mr Muzammil Merchant Phone : +91226773405 Email

Q: Branch Operations Officer

Mr. Porus Fitter Ph: 022 6777 3990 Fax: 022 6777 3600 Email

Q: RTGS/NEFT

Details Bank IFSC/NEFT Code: CRES0000001 Helpdesk Queries Mr. Porus Fitter Ph: 022 6777 3990 Fax: 022 6777 3600 Email RTGS/NEFT 24x7 Operationalization Availability timings of RTGS/NEFT for customers: For Inward transactions, the RTGS/NEFT facility is available 24 hours to the customers and for Outward transactions, the RTGS/NEFT facility is available till 6:30 PM to the customers on working days.

Q: Principal Nodal Officer

Mr Muzammil Merchant Phone : +91226773405 Email

Following completion of the merger of UBS AG and Credit Suisse AG, Credit Suisse AG’s business was transferred to UBS AG, and Credit Suisse AG ceased to exist. At this time however, the two entities did not operationally merge and, as a result, we continue to have two sets of operational infrastructure and processes during this transitionary period.

Consequently UBS AG is now the sole parent entity and all direct subsidiaries of Credit Suisse AG have become direct subsidiaries of UBS AG, and all branches of Credit Suisse AG have been absorbed into existing or established as new branches of UBS AG (as the case may be). As such, Credit Suisse AG’s branches have been renamed as UBS Branches, with the exceptions of Credit Suisse AG, Taipei Securities Branch and Credit Suisse AG Shanghai Branch.

Click hereAll about the Parent Bank Merger for the latest updates on how we continue to serve clients.

Branch Manager, Mumbai

Chief Operating Officer

Branch Compliance Officer, Mumbai

Branch Operations Officer

RTGS/NEFT

Details
Bank IFSC/NEFT Code: CRES0000001

Helpdesk Queries
Mr. Porus Fitter
Ph: 022 6777 3990
Fax: 022 6777 3600

RTGS/NEFT 24x7 Operationalization
Availability timings of RTGS/NEFT for customers:
For Inward transactions, the RTGS/NEFT facility is available 24 hours to the customers and for Outward transactions, the RTGS/NEFT facility is available till 6:30 PM to the customers on working days.

Principal Nodal Officer

FAQ – Commercial Loan

Who can apply for Commercial Loan?
Answer: Operating companies (Private limited corporations and public limited companies) can apply for Commercial loans. UBS AG, Mumbai branch's ("Bank") policy is to treat all its clients consistently and fairly. The Bank adopts all the best practices prescribed by RBI from time to time with appropriate modifications, if any, necessary for Fair Practices Code ("FPC") to conform to the standards and practices prescribed.

The employees/representatives of the Bank will offer assistance, encouragement and service in a fair, equitable and consistent manner. For details, please refer to FPC published on our website.

What documents need to be submitted for a Commercial Loan?
Answer: The Bank requires the following list of common documents:

Duly filled loan application form and account on-boarding form
KYC: Proof of Identity and address: Aadhaar Card / Voter's ID Card / Passport / Driving License
PAN Card
Proof of business address as applicable
Constitution documents for non-individual clients: e.g. Memorandum and Articles of Association of the Company / Partnership /Trust Deed etc.
Financial statements and income proof documents of the proposed borrower, promoters, and guarantors, e.g., audited balance sheet, net worth certificate and income tax return acknowledgments.
SSI / MSME Udyam Registration Certificate / Udyog AADHAAR Memorandum, if applicable.

The Bank may seek additional documents depending on the nature of entity, end-use of loans and other similar considerations.

What is the average time to process a commercial loan?
Answer: The time taken for loan disbursement depends on the completeness of information and documentation provided by the proposed borrower. The more accurate the data, the sooner the loan gets processed.

The Bank shall provide to the prospective borrower an acknowledgement for receipt of all loan applications. Kindly note that the time frame within which loan applications will be disposed of will be mentioned in the application form submitted by the proposed borrower and is normally within 30 days.

What is Credit for MSMEs
Answer: The Bank offers bespoke financing solutions to its clients in the form of: (a) Term Loan; and (b) Overdraft facility linked to fixed rate of interest and/or floating rate of interest. The acceptable collateral for such loans are generally the marketable securities.

What are the measures being taken by the bank to promote gender diversity?
Answer: The Bank's policy is to treat all the clients consistently and fairly, irrespective of their gender. The Bank adopts all the best practices prescribed by RBI from time to time with appropriate modifications, if necessary, to the FPC to conform to the standards so prescribed.

The employees/representatives of the Bank will offer assistance, encouragement and service to all clients in a fair, equitable and consistent manner.

What are the measures being taken by the bank towards Sustainability?
Answer: For the Bank (being part of UBS-group), sustainability means thinking and acting with the long term in mind. Kindly refer to the sustainability and impact document on our UBS Group website Sustainability and impact | UBS Global for more details.

Customer Service Policies / Guidelines

Important Information

KYC Details

To view your KYC status: Click here
Process for KRA validation and Guide for KRA non-validated clients to update KYC: PDF

Nomination Information

What is Nomination?
Nomination is the facility available to an account holder to name an individual to receive the proceeds of the account after his/her demise.

Why should you add your nominee?
Ease of Transfer: A nominated person can quickly access the funds, seamless transition of assets and avoid legal complications.
Security & peace of mind: The account holder ensures that their financial assets will be passed to the right person.
Financial security for dependents: Naming a nominee ensures that dependents receive financial support promptly.

Features of nomination?
Nomination can be made for all types of accounts - Savings, Current, Demat, Recurring and Fixed Deposit.
Any individual above 18 years can be nominee and a Minor with a guardian can also be a nominee.
The nomination details can be changed during the subsistence of the account relationship by filling up the form, Prescribed under the Banking Companies (Nomination) Rules, 1985.

Deposit Insurance and Credit Guarantee Corporation

UBS AG bank is registered with DICGC

Reserve Bank of India Notifications

Integrated Ombudsman Schemes

ASBA – Application Supported By Blocked Amount

ASBA Nodal Officer

ASBA Procedure

Depository Services

DP Registration ID

IN-DP-450-2020

Attention Investors

Prevent Unauthorized Transactions in your demat account.

Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from NSDL on the same day issued in the interest of investors.

KYC is one time exercise while dealing in securities markets – once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary.

No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account.

Filing complaints with the Depository Participant

For any Investor Grievances please reach out to – DD Investor Grievance
For escalation refer – Grievance Redressal Escalation (PDF)

Filing complaints on SCORES- Easy & Quick

a. Register on SCORES portal
b. Mandatory details for filling complaints on SCORES
i. Name, PAN, Address, Mobile Number, E-mail ID
c. Benefits:
ii. Effective Communication
iii. Speedy redressal of the grievances

Access to NSDL e-Services

Beware of fictitious offers / lottery winnings / cheap funds offer RBI Advisory

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Saarthi 2.0 Mobile App on Personal Finance for Investors

“For more information related to investments in the securities market, please visit the SEBI Investor Website https://investor.sebi.gov.in/ and the SEBI Saarthi Mobile App.”

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