UBS Investment Bank is a business group of UBS AG
UBS Securities LLC is a subsidiary of UBS AG
Member SIPC. Member New York Stock Exchange and other principal exchanges.
As of September 2008
Overview of UBS Investment Bank’s Business Continuity Plan
UBS Investment Bank is committed to taking commercially reasonable steps to provide
protection for essential activities and critical support services should a significant business
disruption result from events such as power outages, natural disasters, pandemics or other
situations. UBS Investment Bank established a Business Continuity Plan intended to protect
assets, processes and customer data while enabling continued operation of critical functions
during or immediately following a disruption.
UBS Investment Bank recognizes its responsibility to help protect global Financial Systems
and strives to meet or exceed regulatory guidelines and recommendations.
Depending on the type, scope or duration of a business disruption, UBS Investment Bank’s
Business Continuity Plan is engineered to resume critical operations (clearance and
settlement) within the same business day. UBS Investment Bank intends to recover and
resume the remaining operations within predefined timeframes, in many cases by the end of
the next business day.
Our Business Continuity Program considers various levels of disruption that might affect one
building, a business district, city or a wide-scale condition affecting a region or multiple regions.
UBS Investment Bank plans to utilize its local recovery capabilities and, when deemed
necessary and appropriate, has the ability to recover to international locations to resume
business and ensure customers prompt access to funds and securities. Information is stored
securely in multiple sites located within the countries in which we operate and internationally,
when permissible by local regulations, allowing UBS Investment Bank to recover and utilize
critical data in the event of a business disruption.