UBS Global Wealth Management

ubs global wealth management

When you choose UBS Global Wealth Management, your advisor will spend time learning about your financial goals and risk tolerance. He or she will then develop a strategy for your portfolio and keep you in constant communication throughout the process. You will receive an annual review of your portfolio’s performance and have the opportunity to compare your recommended portfolio against market benchmarks. To maximize your investment portfolio, UBS Global Wealth Management recommends investing in several asset classes.

Investing in impact investing

A new paper from UBS Global Wealth Management outlines a new approach to impact investing: the use of a multi-asset solution that combines institutional due diligence, strategic diversification, simplicity, and daily liquidity. It offers clients access to impact managers, direct investments, and reports on impact generated. In addition, it offers research and insights into investor behavior, including trends in impact investing. In addition, UBS has endorsed the World Economic Forum’s Build Effective Ecosystem for ESG initiative and is calling on the World Bank Group to officially endorse the criteria.

The cancer drug market is booming, and UBS’s new fund will invest in early-stage therapies that will benefit patients worldwide. The fund will use royalties from the sale of its investments to support academic research. The fee structure of the fund is still under wraps, but UBS will likely use similar strategies to venture capital funds. The goal is to combine the strengths of banks with social enterprises. With more than $600 billion in assets, UBS will be able to invest in a variety of industries, from healthcare to sustainable cities and green technologies.

As part of its commitment to sustainable investing, UBS has brought on board three top professionals in the field. First, Andrew Rina, who has worked in the financial industry for 29 years, heads the firm’s Sustainable and Impact Investing team. His role includes focusing on research, stewardship, and business strategy. In addition to impact investing, UBS Global Wealth Management also invests in sustainable and alternative investments.

Developing a full-service digital offering

In order to remain competitive, banks are moving away from capital markets and into a broader range of clients. Banks like UBS are increasingly looking to the mass affluent market, where they can build predictable revenue streams and reduce reliance on volatile capital markets. Developing a full-service digital offering for UBs global wealth management will be key to achieving this objective. The bank is pursuing several strategic initiatives, including building a digitized core brokerage system, which will simplify the process of loan approvals, credit monitoring, and other core banking functions.

The company’s Global Wealth Management Americas unit plans to launch a new digital service in the next year. The service will target investors with assets of between $250,000 and $2 million, an audience UBS has yet to target. The service will offer up to three articles per week, enabling subscribers to gain an overall view of their total wealth. With this new digital offering, the bank hopes to expand its existing relationships with clients and grow their client base.

Broadridge’s Wealth Platform will provide a modern, customizable advisor desktop. The platform will also incorporate key advisory capabilities like performance reporting, managed accounts support, sleeve accounting, and multi-market order management. The system will be fully open and scalable, allowing UBS to share costs with other companies. Additionally, it will be able to adapt to ongoing technological innovation, regulatory changes, and cyber security requirements.

Compliance department

The Compliance department at UBS Global Wealth Management is comprised of two primary functions: risk management and regulatory affairs. The compliance officer has broad responsibilities, including overseeing the firm’s compliance program and overseeing the conduct of business. He is also responsible for liaising with external counsel and performing compliance monitoring under the company’s existing monitoring program. In addition to compliance monitoring, he oversees the company’s investment policy.

According to the firm’s Code of Conduct, employees are required to adhere to all applicable laws in jurisdictions where they do business and face disciplinary action if they violate these laws. This Code of Conduct is meant to ensure employees conduct their personal securities transactions in a client-first manner, consistent with law. Any activity that goes beyond the scope of legitimate employment is illegal. UBS will investigate any employee who violates the code of conduct and will impose disciplinary action where necessary.

The Compliance department at UBS Global Wealth Management oversees the operations of both discretionary and managed accounts. Discretionary accounts must be centrally administered through UBS WMA. While these accounts are exempt from Section 4 Trading Restrictions, they must abide by the Code’s rules on securities and investment practices. Moreover, they must adhere to all other Code provisions. So, whether you are a consumer or a business, UBS Global Wealth Management has the right compliance team to protect you from losing your money.

401(k) plan approval

The company has expanded its service offerings to help financial advisors serve smaller defined contribution retirement plans. The retirement plan manager is part of the firm’s Retirement Plan Guided Solutions, a separate service from its traditional consulting services. These services include the development of investment menus and the selection of investments. UBS Global Wealth Management has a number of different plans to choose from, and it can work with your plan to find one that suits your needs.

UBS Global Wealth Management USA offers retirement plan consulting services, investment portfolio management, and other financial planning services. The firm has advisors throughout the U.S. and can also help your company meet its responsibilities to your employees and to your shareholders. This global firm also has registered trademarks such as “UBS,” “UBS Financial Services,” and “UBS” – a nod to its Swiss parent.

UBS Wealth Management has a reputation for helping their clients achieve financial security. The firm has won numerous awards, including the ADV Ratings Award for Best Global Wealth Manager, “Best Bank for Wealth Management in North America,” and “Top Wealth Manager” by Euromoney. Its financial advisors have also been recognized by leading publications, including Barron’s, and more recently, 10 women were named to Barron’s Top 100 Women Financial Advisors list.

Disciplinary disclosures

Disciplinary disclosures at UFS Global Wealth Management are not unusual for a massive firm like UBS. The firm has been involved in multiple disciplinary matters involving the allocation of retail bonds and the registration of affiliates. Disciplinary disclosures are required by law for RIAs. In the Form ADV that firms file with the SEC, disciplinary actions can range from criminal and civil judgments to regulatory fines.

In general, if a person works for UBS as an investment adviser or sub-adviser, they will be subject to the same fiduciary standards as other Covered Persons. In particular, they are not allowed to put their own interests above the Advisory Clients. They must also disclose the name of the brokerage firm they work for. This can lead to conflicts of interest.

Disciplinary disclosures at UBI Global Wealth Management are made for both employees and clients. UBS AM follows strict codes of conduct designed to ensure employees conduct personal securities transactions in a client-first manner and in accordance with applicable laws. Any activity that falls outside of the scope of legitimate employment is unacceptable. In addition, violations of the UBS AM Code may result in disciplinary action.

As a publicly traded company, UBS Global Wealth Management is responsible for more than $2.4 trillion in client assets. Disciplinary disclosures at UBS Global Wealth Management are outlined on the company’s website. Additionally, the company has a number of subsidiaries in the U.S., including UBS Financial Services. UBS Financial Services has advisors across the United States.

New workstations planned for 2021

UBS Global Wealth Management is planning to introduce new workstations in the U.S. in 2021 as part of its ongoing commitment to digitalization of financial advice. The firm has faced numerous challenges in developing the current broker workstations, and plans to roll out new ones in coordination with Broadridge Financial Solutions. In the meantime, the firm is focusing on a variety of other initiatives, including adding more advisers.

The bank is rolling out a new broker desktop that is called “We Map” and is currently being rolled out piecemeal to its roughly 6,000 brokers in the Americas division. While some brokers are testing the new software, others are piloting it in hopes of getting feedback on its functionality and ease of use. In response to a request for comment, a UBS spokesperson declined to provide an updated timeline for the full deployment.

The bank has been working on a cloud strategy for three years. By adopting Microsoft Azure and other cloud technologies, the bank is reaping the benefits of both technology and cloud. With these solutions, the bank can respond to client needs faster while maintaining security. The bank’s engineers have been able to reimagine the way they build applications. By leveraging cloud services, UBS can streamline its business and increase efficiency.