Wealth Management Strategic Partnerships Group. Services for Financial Planners A Powerful Partnership

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1 Wealth Management Strategic Partnerships Group Services for Financial Planners A Powerful Partnership

2 A powerful partnership In an increasingly complex and competitive financial world, choosing a private banking partner has become a critical decision for financial planners wanting to deliver the fullest possible service to their clients. At UBS Wealth Management, we work side by side with financial planners, delivering an investment experience that is a seamless extension to your business and to the service you already offer to your clients. A partnership with UBS gives your clients access to the expertise of one of the world s leading private banks from our renowned discretionary investment advice to our range of specialist financial solutions. For you, it means an opportunity to broaden your service and to build your business as you strengthen existing relationships and forge new ones. On your side The Strategic Partnerships Group is dedicated to ensuring that you and your clients can make the most of our partnership. The team is made up of experts many of them previously financial planners themselves, ensuring a high level of financial planning awareness within the team. They will act as your gateway to the solutions and insight that exist throughout UBS. They will put you in touch with the relevant specialists and be on hand to guide you through our services to determine what may be best suited to your clients. And in the spirit of our partnership you will be fully involved at every stage, from the initial meeting with your clients onwards.

3 A unique blend and breadth of expertise Teaming up with UBS enables you and your clients to tap into a wealth of financial know-how and resources. Working with your contact in the Strategic Partnerships Group, you will be able to choose from our extensive range of services to decide which are best suited to your client. Investment management Discretionary investments: Our experienced investment specialists manage discretionary portfolios in line with our clients objectives and risk profile. Self-managed investments: Our Advisory team provides specialist market insight for those clients who prefer to manage their own investments. Cash and income solutions: Ranging from cash deposits and active cash funds to structured products and efficient insurancebased products. Access to alternative investment vehicles Private equity: We offer a range of programmes providing exclusive access to institutional-class private equity investments. Hedge funds: Our dedicated hedge fund advisory service provides specialist insight and advice on the sector. Real estate: We provide access to globally diverse institutional-class real estate investments. Additional services Corporate Advisory Group: Our corporate finance professionals are focused on the small and middle market sector. Lending: We offer a range of collateralised lending facilities that allow for a balance sheet approach to your clients affairs, giving control over both assets and liabilities. We view access to lending as an essential aid to the overall financial planning process. "A combination of high-level strategic direction and close monitoring of global markets ensures that our investment teams can always rely on the very best and latest investment information."

4 The advantages of working together Teaming up with UBS offers a number of clear advantages for you and for your clients. Financial planner benefits Enhance your financial services offering with a range of complementary investment solutions from a globally-respected private bank Access to a wide range of investments that will enable you to strengthen relationships with existing clients and tap into a new and broader client base Broaden your network of professional connections Transfer investment risk and potentially gain from the resulting reduction in your personal indemnity premiums Access to the world-class research that drives investment decision-making throughout UBS The dedicated support of our professional Strategic Partnerships team Advanced investment support that includes the 24/7 UBS e-portfolio service. Client benefits Access to a fully integrated service that is broad enough to meet their financial needs for the long term Working with their intermediary and with UBS combines the best of financial planning and private banking in one seamless package A fully integrated service that provides access to the widest range of services and solutions Advice for clients that is backed by world-class research A personal service with a dedicated UBS contact, all underpinned by the global strength of one of the world s leading financial institutions Advanced investment support that includes the 24/7 UBS e-portfolio service. The Strategic Partnerships Group model Financial planner Financial Planning advice Cooperation agreement between UBS and Financial Planner Client Investment advice UBS

5 Case study Lateral financial thinking Long-term clients of one of our intermediary partners, David and Julie, wanted to help their recently graduated daughter, Alison, to get her foot onto the property ladder in London. However, having funded Alison throughout her studies and already having funding in place for their other daughter s university education, they did not have sufficient cash reserves to cover the required deposit. Their existing investment portfolio had been structured with a longer term horizon in preparation for their retirement in 10 years time. Working with their intermediary, we developed a solution that secured borrowing against their investment portfolio in order to release the necessary funds. This allowed the couple to avoid having to sell some assets at a depressed price or trigger capital gains tax on those which had performed well. Their long-term investment structuring is still in place as a result and they have agreed a sensible repayment schedule that works for both Alison and her parents. The UBS team At UBS, we have been advising wealthy individuals for over 150 years. One of the world s largest wealth managers, we operate in over 40 countries on five continents and we are also a globally active investment bank and institutional asset manager. This international perspective is combined with UBS s robust investment philosophy and world-leading research, giving our clients unique insights into today s financial marketplace. If you d like to learn more about the benefits of a partnership with UBS for your clients and for your business, we would be delighted to arrange a meeting at your convenience. Please contact a member of our team on the details below. Contact details Strategic Partnerships strategic-partnerships@ubs.com Tel.:

6 This material is prepared for distribution to Professional Strategic Partners/Financial Planners only and is not suitable for private clients and as such should not be relied upon by them. This document has been prepared by UBS Wealth Management, a division of UBS AG which is authorised and regulated by the Financial Market Supervisory Authority in Switzerland. In the United Kingdom, UBS AG is authorised by the Prudential Regulation Authority and is subject to regulation by the Financial Conduct Authority and limited regulation by the Prudential Regulation Authority. Details about the extent of our regulation by the Prudential Regulation Authority are available from us on request. Where products or services are provided from outside the UK, they will not be covered by the UK regulatory regime or the Financial Services Compensation Scheme. This publication is for your information only and is not intended as an offer, or a solicitation of an offer, to buy or sell any investment or other specific product. Although all information and opinions expressed in this document were obtained from sources believed to be reliable and in good faith, no representation or warranty, express or implied, is made as to its accuracy or completeness. All information and opinions as well as any prices indicated are subject to change without notice and the asset classes, the asset allocation and the investment instruments are only indicative. In accordance with FCA requirements, we should point out that with regard to any investments mentioned, values may fall as well as rise and that exchange rates may have a similar effect. It should be noted that past performance is not an indication of future returns. Please be reminded that all investments carry a certain degree of risk. Your attention is hereby drawn to such risk (which can be substantial). Some investments may not be readily realisable since the market in the securities is illiquid and therefore valuing the investment and identifying the risk to which you are exposed may be difficult. Some investments may be subject to sudden and large falls in value and on realisation you may receive back less than you invested. This document may not be reproduced or copies circulated without prior authority of UBS. This document is not intended for distribution into the US and/or to US persons or in jurisdictions where its distribution by us would be restricted. UBS The key symbol and UBS are among the registered and unregistered trademarks of UBS. All rights reserved. UBS AG 3 Finsbury Avenue London EC2M 2AN Tel Fax: February V003