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UBS Asset Management

PRI reporting framework 2018

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Organisational Overview
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] Communication [SG 19]
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
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You are in Strategy and Governance » Investment policy

Investment policy

SG 01. RI policy and coverage

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate if you have an investment policy that covers your responsible investment approach.

01.2. Indicate the components/types and coverage of your policy.

Select all that apply

Policy components/types

Coverage by AUM

01.3. Indicate if the investment policy covers any of the following

01.4. Describe your organisation’s investment principles and overall investment strategy, and how they consider ESG factors and real economy impact.

We recognise the importance of ESG factors to companies and believe that non-financial factors that are material in nature are indicators of sustainability. Therefore, these factors are helpful to the investment process, broadening the range of data being considered. ESG factors may have a direct impact on the future revenues and costs of companies, as well as the long-term risk adjusted rate of return to investors and their beneficiaries or clients. For this reason, we seek to protect and enhance the value of clients' assets by ensuring that such factors are assessed and integrated into our overall company research and active investment decision making process, including in our estimation of cash flows, valuation metrics and growth opportunities.

01.5. Provide a brief description of the key elements, any variations or exceptions to your investment policy that covers your responsible investment approach. [Optional]

As a large scale investment manager we provide traditional (equity, fixed income and multi-asset), and alternative (real estate, infrastructure and private equity) investment solutions to private clients, financial intermediaries and institutional investors worldwide. With a number of different investment areas and a range of strategies within each area, the extent of our approach necessarily may vary to some extent across the firm and across countries according to local market customs and client needs.

SG 02. Publicly available RI policy or guidance documents

New selection options have been added to this indicator. Please review your prefilled responses carefully.

02.1. Indicate which of your investment policy documents (if any) are publicly available. Provide a URL and an attachment of the document.

URL/Attachment

URL https://www.ubs.com/global/en/asset-management/about/sustainable-impact-investing/_jcr_content/mainpar/toplevelgrid_401696984/col1/accordionbox_1787345959/linklist/link_619338053.2065936005.file/bGluay9wYXRoPS9jb250ZW50L2RhbS91YnMvZ2xvYmFsL2Fzc2V0X21hbmFnZW1lbnQvcGRmL3doeS1pbnZlc3QvZXNnLWludmVzdG1lbnQtcG9saWNpZXMtMjAxNi5wZGY=/esg-investment-policies-2016.pdf

URL/Attachment

URL https://www.ubs.com/global/en/asset-management/about/sustainable-impact-investing.html

URL/Attachment

URL https://www.ubs.com/global/en/asset-management/about/sustainable-impact-investing.html

URL/Attachment

URL https://www.ubs.com/global/en/asset-management/about/sustainable-impact-investing.html

02.2. Indicate if any of your investment policy components are publicly available. Provide URL and an attachment of the document.

URL/Attachment

URL https://www.ubs.com/global/en/asset-management/about/sustainable-impact-investing.html

URL/Attachment

URL https://www.ubs.com/global/en/asset-management/about/sustainable-impact-investing.html

02.3. Indicate if your organisation’s investment principles, and overall investment strategy is publicly available

URL https://www.ubs.com/global/en/asset-management.html

02.4. Additional information [Optional].

SG 03. Conflicts of interest

03.1. Indicate if your organisation has a policy on managing potential conflicts of interest in the investment process.

03.2. Describe your policy on managing potential conflicts of interest in the investment process.

In keeping with our firm’s high standard of business conduct, we maintain a Code of Business Conduct and Ethics that represents our effort to adhere to the requirements of law and industry practice. Importantly, the Code is designed to foster a working environment in which all employees are cognisant of their obligation to avoid any actions that constitute a potential conflict of interest, the appearance of such a conflict, the improper use of confidential information or the appearance of any impropriety. Every employee is required to review and sign the firm’s Code of Business Conduct and Ethics once a year, and complying with the Code is a condition of continued employment.

We have also established procedures designed to detect and prevent insider trading. We have implemented a personal investment policy for each of our employees. All personal trades are reported to and monitored by our Compliance Department.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Private)

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