Public HTML RI reports - PRI reporting framework 2019

Select the services and funds you offer	% of asset under management (AUM) in ranges
Fund management	0% <10% 10-50% >50%
Fund of funds, manager of managers, sub-advised products	0% <10% 10-50% >50%
Other	0% <10% 10-50% >50%
Total 100%

Further options (may be selected in addition to the above)

Hedge funds

Fund of hedge funds

01.2. Additional information. [Optional]

Lombard Odier operates in two business segments: private banking and asset management.

Lombard Odier’s Private Clients unit serves individuals with a wide range of advisory services in wealth management, financial products, and other specialized areas. Lombard Odier Investment Managers (‘LOIM’) serves institutional clients with its expertise in smart beta, high conviction, absolute return and multi-asset strategies. Both segments share horizontal services.

OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

Switzerland

02.2. Indicate the number of countries in which you have offices (including your headquarters).

2-5

6-10

>10

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

2445 FTE

02.4. Additional information. [Optional]

Lombard Odier has over 25 offices located in four different continents. Lombard Odier has just recently opened a brand new office in Johannesburg, South Africa. Lombard Odier’s headquarters are based in Geneva, Switzerland where the majority of operations and activities take place.

OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

Yes

03.3. Additional information. [Optional]

OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/12/2018

04.2. Indicate your total AUM at the end of your reporting year.

Include the AUM of subsidiaries, but exclude advisory/execution only assets, and exclude the assets of your PRI signatory subsidiaries that you have chosen not to report on in OO 03.2

Total AUM
Total AUM	trillions	billions	millions	thousands	hundreds
Currency
Assets in USD
Assets in USD	trillions	billions	millions	thousands	hundreds

Not applicable as we are in the fund-raising process

04.4. Indicate the total assets at the end of your reporting year subject to an execution and/or advisory approach.

Not applicable as we do not have any assets under execution and/or advisory approach

04.5. Additional information. [Optional]

Lombard Odier Group key figures :

Lombard Odier Group total client assets stood at approximately USD 257 billon at the end of 2018, out of this number USD 162 billion are assets under management (AUM). For the reporting year 2018, Lombard Odier Group has decided not to disclose the split between Discretionary, Advisory and Execution-only assets.

OO 06. How would you like to disclose your asset class mix

06.1. Select how you would like to disclose your asset class mix.

as percentage breakdown

as broad ranges

	Internally managed (%)	Externally managed (%)
Listed equity	10-50% 17	10-50% 13
Fixed income	10-50% 18	<10% 9
Private equity	<10% 1	0 0
Property	<10% 1	0 0
Infrastructure	<10% 1	0 0
Commodities	<10% 1	<10% 1
Hedge funds	<10% 2	<10% 2
Fund of hedge funds	<10% 2	0 0
Forestry	0 0	0 0
Farmland	0 0	0 0
Inclusive finance	<10% 0.1	<10% 0.1
Cash	<10% 3	<10% 5
Money market instruments	<10% 5	<10% 4
Other (1), specify	<10% 4	<10% 1
Other (2), specify	<10% 6.8	<10% 3

'Other (1)' specified

          Convertibles or warrants bonds

'Other (2)' specified

          Other balanced intrusments

06.2. Publish asset class mix as per attached image [Optional].

06.3. Indicate whether your organisation has any off-balance sheet assets [Optional].

Yes

06.5. Indicate whether your organisation uses fiduciary managers.

Yes, we use a fiduciary manager and our response to OO 5.1 is reflective of their management of our assets.

No, we do not use fiduciary managers.

06.6. Provide contextual information on your AUM asset class split. [Optional]

OO 07. Fixed income AUM breakdown (Private)

OO 08. Segregated mandates or pooled funds (Private)

OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

90 Developed Markets

10 Emerging Markets

0 Frontier Markets

0 Other Markets

Total 100% 100%

09.2. Additional information. [Optional]

The above mentioned figures are reflective of our asset management activities.

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