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UBS Asset Management

PRI reporting framework 2018

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Governance and human resources

SG 07. RI roles and responsibilities

07.1. Indicate the roles present in your organisation and for each, indicate whether they have oversight and/or implementation responsibilities for responsible investment.

Roles present in your organisation

          Head - Sustainable and Impact Investing
        

07.2. For the roles for which you have RI oversight/accountability or implementation responsibilities, indicate how you execute these responsibilities.

At the UBS Group level, UBS and Society covers all the activities and capabilities related to sustainable investing, philanthropy, environmental and human rights policies governing client and supplier relationships, our environmental footprint, as well as, community investment.

Within the Asset Management divsion, our Sustainable & Impact Investing team is built upon three main pillars:

1. The Research and Stewardship function is responsible for sourcing and distributing ESG data for analysts across asset classes. This requires working closely with the UBS Technology infrastructure to ensure sufficient connectivity for a robust delivery of various external and internal ESG data. In addition, this unit is responsible for the ongoing training for analysts, portfolio managers, and reporting professionals.

2. The Product Specialists unit is responsible for the offering and product development of Sustainable and Impact products. This unit develops concepts for new strategy launches and coordinates with Research and Corporate Engagement and Voting on reporting deliverables. The Product Specialists unit works closely with client-facing professionals to better understand client demand and market trends.

3. The Business Management unit is responsible for developing and implementing messaging to ensure that all business units are working in solidarity. In addition to developing all content, for external and internal use, this unit is also responsible for client roadshows and educational events for clients on Sustainable and Impact investing strategies.

In addition, within our Equities Investments area, we have a dedicated Sustainable Investors portfolio management team of five investment professionals. The team combines traditional bottom-up fundamental research with rigorous sustainability analysis, using our proprietary ESG database.

Our ESG Committee meets quarterly and is chaired by the Head of Sustainable & Impact Investing team, Michael Baldinger. Membership of the committee comprises representatives from each of our main investment capabilities as well as from key client servicing regions. The aims of the committee are to:

- Implement best practice and further develop ESG commitments

- Oversee objectives, measurement and reporting related to ESG

- Ensure awareness/communication between different areas of UBS Asset Management

- Oversee internal and external communication of UBS Asset Management's ESG practices and progress

- Report to both the UBS AM Executive Committee and the UBS Group Executive Board on areas of strategic importance

- Maintain alignment with our UBS & Society commitments.

07.3. Indicate the number of dedicated responsible investment staff your organisation has.

20 Number

07.4. Additional information. [Optional]

We plan to further increase our team of dedicated responsible investment staff throughout 2018.


SG 07 CC. Climate-issues roles and responsibilities (Private)


SG 08. RI in performance management, reward and/or personal development (Private)


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