Public HTML RI reports - PRI reporting framework 2018

UBS Asset Management

PRI reporting framework 2018

Basic information [OO 01 - 09] Asset class implementation gateway indicators [OO 10 - 12] Peering questions [OO LE 01 - INF 03]

Strategy and Governance

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Outsourcing to fiduciary managers and investment consultants [SG 12] ESG issues in asset allocation [SG 13 - 15] Asset class implementation not reported in other modules [SG 16 - 17] Innovation [SG 18]

Direct - Listed Equity Incorporation

ESG incorporation in actively managed listed equities [LEI 01 - 10] Implementation processes [LEI 01 - 10] (A) Implementation: Screening [LEI 04 - 06] (B) Implementation: Thematic [LEI 07] (C) Implementation: Integration of ESG issues [LEI 08 - 10] ESG incorporation in passively managed listed equities [LEI 11] Outputs and outcomes [LEI 12 - 14]

Direct - Listed Equity Active Ownership

Engagement [LEA 01 - 14] Overview [LEA 01 - 02] Process [LEA 03 - 10] Process for engagements run internally [LEA 03 - 04] Process for engagements conducted via collaborations [LEA 05 - 06] General processes for all three groups of engagers [LEA 09 - 10] Outputs and outcomes [LEA 11 - 14] (Proxy) voting and shareholder resolutions [LEA 15 - 24] Overview [LEA 15] Process [LEA 16 - 20] Outputs and outcomes [LEA 21 - 24]

Direct - Fixed Income

ESG incorporation in actively managed fixed income [FI 01 - 13] Implementation processes [FI 01 - 03] (A) Implementation: Screening [FI 04 - 07] (B) Implementation: Thematic [FI 08 - 10] (C) Implementation: Integration [FI 11 - 13] ESG incorporation in passively managed fixed income [FI 14] Outputs and outcomes [FI 18 - 19]

Direct - Property

Overview [PR 01] Fundraising of property funds [PR 02 - 03] Pre-investment (selection) [PR 04 - 06] Selection, appointment and monitoring third-party property managers [PR 07] Post-investment (monitoring and active ownership) [PR 08 - 14] Overview [PR 08] Property monitoring and management [PR 09 - 10] Property developments and major renovations [PR 11] Occupier engagement [PR 12 - 13] Community engagement [PR 14] Outputs and outcomes [PR 15 - 16]

Direct - Infrastructure

Overview [INF 01 - 02] Fundraising of infrastructure funds [INF 03 - 04] Pre-investment (selection) [INF 05 - 09] Selection, appointment and monitoring of third-party operators [INF 10] Post-investment (monitoring and active ownership) [INF 11 - 16] Overview [INF 11] Infrastructure monitoring and operations [INF 12 - 14] Infrastructure maintenance [INF 15] Stakeholder engagement [INF 16] Outputs and outcomes [INF 17 - 18] Communication [INF 19]

Assurance

Assurance [CM1 01.1 - 01.7]

Export Public Responses

You are in Strategy and Governance » Communication

Communication

SG 19. Communication

19.1. Indicate whether your organisation proactively discloses asset class specific information. Select the frequency of the disclosure to clients/beneficiaries and the public, and provide a URL to the public information.

Fixed income

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL	Disclosure to clients/beneficiaries
Disclosure to public and URL Broad approach to RI incorporation Detailed explanation of RI incorporation strategy used	Disclosure to clients/beneficiaries Broad approach to RI incorporation Detailed explanation of RI incorporation strategy used
Frequency	Frequency
URL https://www.ubs.com/global/en/asset-management/investment-capabilities/sustainability.html URL

Infrastructure

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL
Disclosure to public and URL ESG information on how you select infrastructure investments ESG information on how you monitor and manage infrastructure investments Information on your infrastructure investments’ ESG performance	Disclosure to clients/beneficiaries ESG information on how you select infrastructure investments ESG information on how you monitor and manage infrastructure investments Information on your infrastructure investments’ ESG performance
Frequency	Frequency
URL https://www.ubs.com/global/en/asset-management/investment-capabilities/sustainability.html URL

Listed equity - Engagement

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL
Disclosure to public and URL Details on the overall engagement strategy Details on the selection of engagement cases and definition of objectives of the selections, priorities and specific goals Number of engagements undertaken Breakdown of engagements by type/topic Breakdown of engagements by region An assessment of the current status of the progress achieved and outcomes against defined objectives Examples of engagement cases Details on eventual escalation strategy taken after the initial dialogue has been unsuccessful (i.e. filing resolutions, issuing a statement, voting against management, divestment etc.) Details on whether the provided information has been externally assured Outcomes that have been achieved from the engagement Other information	Disclosure to clients/beneficiaries Details on the overall engagement strategy Details on the selection of engagement cases and definition of objectives of the selections, priorities and specific goals Number of engagements undertaken Breakdown of engagements by type/topic Breakdown of engagements by region An assessment of the current status of the progress achieved and outcomes against defined objectives Examples of engagement cases Details on eventual escalation strategy taken after the initial dialogue has been unsuccessful (i.e. filing resolutions, issuing a statement, voting against management, divestment etc.) Details on whether the provided information has been externally assured Outcomes that have been achieved from the engagement Other information
Frequency	Frequency
URL https://www.ubs.com/global/en/asset-management/investment-capabilities/sustainability.html URL

Listed equity – (Proxy) Voting

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL
Disclosure to public and URL Explain all voting decisions Explain some voting decisions Only explain abstentions and votes against management No explanations provided	Disclosure to clients/beneficiaries Explain all voting decisions Explain some voting decisions Only explain abstentions and votes against management No explanations provided
Frequency	Frequency
URL https://vds.issgovernance.com/vds/#/MjU0/ URL

Listed equity - Incorporation

Do you disclose?

We do not proactively disclose it to the public and/or clients/beneficiaries

We disclose to clients/beneficiaries only.

We disclose it publicly

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL
Disclosure to public and URL Broad approach to ESG incorporation Detailed explanation of ESG incorporation strategy used	Disclosure to clients/beneficiaries Broad approach to ESG incorporation Detailed explanation of ESG incorporation strategy used
Frequency	Frequency
URL https://www.ubs.com/global/en/asset-management/investment-capabilities/sustainability.html URL

Property

Do you disclose?

We do not disclose to either clients/beneficiaries or the public.

We disclose to clients/beneficiaries only.

We disclose to the public

The information disclosed to clients/beneficiaries is the same

Yes

Disclosure to public and URL
Disclosure to public and URL ESG information on how you select property investments ESG information on how you monitor and manage property investments Information on your property investments’ ESG performance Other	Disclosure to clients/beneficiaries ESG information on how you select property investments ESG information on how you monitor and manage property investments Information on your property investments’ ESG performance Other
Frequency	Frequency
URL https://www.ubs.com/global/en/asset-management/investment-capabilities/sustainability.html URL

19.2. Additional information [Optional]

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UBS Asset Management

PRI reporting framework 2018

Communication

SG 19. Communication

19.1. Indicate whether your organisation proactively discloses asset class specific information. Select the frequency of the disclosure to clients/beneficiaries and the public, and provide a URL to the public information.

Fixed income

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Disclosure to clients/beneficiaries

Frequency

Frequency

Infrastructure

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Disclosure to clients/beneficiaries

Frequency

Frequency

Listed equity - Engagement

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Disclosure to clients/beneficiaries

Frequency

Frequency

Listed equity – (Proxy) Voting

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Disclosure to clients/beneficiaries

Frequency

Frequency

Listed equity - Incorporation

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Disclosure to clients/beneficiaries

Frequency

Frequency

Property

Do you disclose?

The information disclosed to clients/beneficiaries is the same

Disclosure to public and URL

Disclosure to clients/beneficiaries

Frequency

Frequency

19.2. Additional information [Optional]