Public HTML RI reports - PRI reporting framework 2020

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%	Please specify Discretionary, Advisory & Execution only mandates
Total 100%

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

Hedge funds

Fund of hedge funds

01.2. Additional information. [Optional]

The Lombard Odier Group (Lombard Odier or the Group) is a leading global wealth and asset manager composed of several private banking and asset management entities across the globe. Lombard Odier provides a complete offering of wealth services, including succession planning, discretionary and advisory portfolio management, and custody. Asset management services are offered through Lombard Odier Investment Managers (LOIM). Lombard Odier has also created cutting-edge banking technology, which is distributed to other financial institutions.

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).

2447 FTE

02.4. Additional information. [Optional]

Lombard Odier’s headquarters are based in Geneva, Switzerland where the majority of operations and activities take place. Lombard Odier has 27 offices located in four different continents.

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.

31/12/2019

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 assets which are subject to an execution and/or advisory approach. Provide this figure based on the end of your reporting year

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 clients assets (AuM and AuC) stood at approximately USD 308 billons. Lombard Odier Group has decided not to disclose the split between Discretionary, Advisory, Execution-only and Custody 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% 18	10-50% 11
Fixed income	10-50% 20	<10% 7
Private equity	<10% 1	0 0
Property	<10% 1	<10% 1
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% 0.12	0 0
Cash	<10% 3	<10% 4
Money market instruments	<10% 5	<10% 4
Other (1), specify	<10% 4	<10% 1
Other (2), specify	<10% 7.88	<10% 3

`Other (1)` specified

          Convertibles or warrants bonds

`Other (2)` specified

          Other balanced mandates

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

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

Provide a breakdown of your organisation’s externally managed assets between segregated mandates and pooled funds or investments.

Asset class breakdown	Segregated mandate(s)	Pooled fund(s) or pooled investment(s)	Total of the asset class (each row adds up to 100%)
[a] Listed equity	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[b] Fixed income - SSA	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[c] Fixed income – Corporate (financial)	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[d] Fixed income – Corporate (non-financial)	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[g] Property	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[i] Commodities	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[j] Hedge funds	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[n] Cash	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[o] Money market instruments	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[p] Other (1), specify	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%
[q] Other (2), specify	0% <10% 10-50% >50 %	0% <10% 10-50% >50 %	100%

08.2. Additional information. [Optional]

Lombard Odier Group: breakdown of externally managed assets.

OO 09. Breakdown of AUM by market

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

89 Developed Markets

11 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.

Next Section

Lombard Odier

PRI reporting framework 2020

Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Please specify