UBS ESG Presentation Deck
Continued focus on operational risks.
Operational resilience during COVID-19
> Continued to serve clients without material impact on business
Employee conduct is a central consideration in the annual compensation process
> Incentive schemes distinguish clearly between quantitative performance and conduct-related
behaviors
Suitability risk, product selection, cross-divisional service offerings, quality of
advice and price transparency remain areas of focus
> Low interest rates, market volatility and major legislative change programs require adjustments to
control processes
Continued focus on financial crime
> Significant investments in detection capabilities and core systems
> Exploring new technologies; implementing more sophisticated rule-based monitoring by applying
self-learning systems to identify potentially suspicious transactions
> Active participation in public/private partnerships to improve information sharing and better detect
financial crimes
UBS
Continued focus on
sustainable remediation
and resolution of
underlying root causes
Significant operational risk
issues outstanding
2019
~(68%)
2020
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