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%
Total 100%

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

Hedge funds

Fund of hedge funds

01.2. Additional information. [Optional]

Union Bancaire Privée, UBP SA (hereafter "UBP" or "the Bank"), headquartered in Geneva, is one of the leading Swiss private banks and focuses on asset management for institutional and private clients, with expertise in both traditional and alternative asset management. Thanks to its integrated business model the Bank can offer highly personalised investment management to its institutional clients, while enabling its private clients to access products and services that are generally only made available to institutional investors.

UBP's investment solutions are geared towards clients' needs: they can be off-the-shelf collective products, or they may consist of tailored mandates or wholly-dedicated funds.

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).

1743 FTE

02.4. Additional information. [Optional]

The staff number represents Full Time Employees.

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

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 do not have any assets under execution and/or advisory approach

04.5. Additional information. [Optional]

UBP's Responsible Investment policy covers not only UBP’s Asset Management division’s assets but also to direct-holdings managed by UBP’s Wealth Management Discretionary Service. The AuM at the end of the reporting year, reported in Section 04.2, is as a result approximately 55 billion.

Excluded are execution and advisory accounts.

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% 15	<10% 6
Fixed income	10-50% 47	10-50% 17
Private equity	0 0	0 0
Property	0 0	0 0
Infrastructure	0 0	0 0
Commodities	0 0	0 0
Hedge funds	0 0	<10% 3
Fund of hedge funds	<10% 3	<10% 1
Forestry	0 0	0 0
Farmland	0 0	0 0
Inclusive finance	0 0	0 0
Cash	<10% 3	0 0
Money market instruments	<10% 1	0 0
Other (1), specify	<10% 4	0 0
Other (2), specify	0 0	0 0

`Other (1)` specified

          Overlay strategies and Balanced

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]

The AUM split reflects assets managed by UBP's Asset Management division and assets managed by UBP's Wealth Management Discretionary Portfolio Management service.

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.

70 Developed Markets

30 Emerging Markets

0 Frontier Markets

0 Other Markets

Total 100% 100%

09.2. Additional information. [Optional]

Our answer to the question OO 09.1 is based on the geographical breakdown of our clients.

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