1 UBS 3 2 UBS 10 3 UBS Japan 13 4 17 A 21 · PDF fileABB, Switzerland, Chief Financial Officer and Member of the Group Executive Committee David Sidwell Senior Independent Director

2015 6 29

資料１

1

1 UBS 32 UBS 103 UBS Japan 134 17

A 21

2

Too Big To Fail

Too Big To Fail(2011)

(2010)

EU (2014)

(2013)

G20

2009 2010 2011 2012 2013 201420082007 2015 2016 2017 2018

Lehman Brothers

2008 9 15

2019

2015

2018

EU

TBTF

III

UBS1

4

UBS

UBS AG

UBS Limited UBS Americas Inc.Other subsidiaries

UBS AG

UBS AG

100%

Too Big To Fail UBS

Branches

5

UBS 2015 3

UBS AGSingle Point of Entry

2015 6 UBS Switzerland AG

UBS Limited

UBS AG

2016 7 1

UBS AG

:1 2014

2 UBS AG100%

3 UBS Switzerland AG UBS AG 100%2015 2

4 UBS UBSOther

subsidiaries

UBS

2015 3

6

2011

UBS

2013 20142012 2015

2015

7

UBS

III10 RoAETier 1 III

Tier 1 III

+670 bps(43%)

Average RoAE 1Q13-4Q14

TargetRoAE

>15%18%

29%

2011-2012

8

10

1 7 2011 3 ; 2 16.87

1Q13

5.0

2Q14

4.9

4Q13

3Q13

5.0

1Q14

5.45.3

4Q14

3Q14

5.3

1Q15

5.1

4.9

2Q13

4.9

4Q12

4.7

3Q12

4.7

2Q12

4.5

1Q12

4.6

4Q11

4.4

3Q11

1

4.3

46%

21%

27%

7%

% 2014 2

~80%

~20%

% 2014

22%

15%

31%

2%

14%

16%

9

UBS

2013 4 2014 9

0.1

0.9

0.6

1.5

1.1

0.5

10.2

20142013

10.7

2013 2014

6.8 6.8

2013 2014

6.6 6.8

2013 2014

4.5 4.6

201410

UBS2

11

UBS Group AG/UBS AG

CEO UBS

The Board of Directors

The Group Executive Board

UBS AG UBS AG

CEO

(Group Executive Board)

Human Resources and Compensation Committee (HRCC)

3/4 UBS(independent)

HRCC

UBS AG UBS AG Board of Directors Group Executive Board

Group Regional Presidents Divisional Presidents

12

: 2015 1

1 :

2 :

3

1 2

UBS 3

UBS Japan3

14

UBS

UBSAG ( )/

UBSAG ( )/

UBS

2

49%

UBS

UBS

UBS

UBSAG1

UBSAG ( )

2015 6

UBS UBS

100% 100%

UBS AG

:1 SPV2 51%

15

UBSUBSUBS

Wealth Management

Global Asset Management1

Investment Bank

FX, Rates & Credit

Equities

Corporate Client Solutions

Corporate Center

Risk & Control CommitteeWM Executive CommitteeWM Control Committee

Board of DirectorsJapan Management Committee

Risk & Control CommitteeOperational Risk Committee

Board of DirectorsExecutive Committee

Risk Committee

UBS

UBSAG UBS AG

:1 UBS

UBS

16

(local vs functional)

Head of WM Japan

Head of Global AM Japan

Heads of Japan IB functions

Heads of Japan Corporate

Center functions

Group Executive Board

Local management Regional management Global management

Global Functional Heads

of relevant functions

IBDivisional President

(Global Head)

AMDivisional President

(Global Head)

WM Divisional President

(Global Head)

WM

AM

IB

CC

WM Regional

Head

AM Regional

Head

Regional Heads of CC

functions

Regional Heads of IB functions

Japan Country Head President Asia Pacific

4

18

-

Fintech

IBA

19

1

2

3

20

Three lines of defense

1

2

3 IT

4

CEO

A

22

(Board of Directors)

Name Roles in BoD Professional history1

Axel A. Weber Chairman European Systemic Risk Board, Member of the Steering CommitteeFinancial Stability Board, Member of the Steering CommitteeDeutsche Bundesbank, President

Michel Demaré Independent Vice Chairman

Syngenta, Chairman of the BoardABB, Switzerland, Chief Financial Officer and Member of the Group Executive Committee

David Sidwell Senior Independent Director

Morgan Stanley, New York, Executive Vice President and Chief Financial OfficerJP Morgan Chase & Co., New York, Chief Financial Officer, Investment Bank

Reto Francioni Member Deutsche Börse AG. Chief Executive OfficerUniversity of Basel, Professor of applied capital markets theorySWX Group, Zurich, Chairman of the Supervisory Board and President

Ann F. Godbehere Member Northern Rock, Chief Financial Officer and Executive DirectorSwiss Re Group Switzerland, Chief Financial Officer

Axel P. Lehmann Member Zurich Insurance Group, Regional Chairman of Europe, Middle East and Africa

William G. Parrett Member Deloitte Touche Tohmatsu, Chief Executive Officer & Senior Partner Deloitte & Touche USA LLP

Isabelle Romy Member Froriep law firm, Zurich, Partner

Jes Staley Member BlueMountain Capital Management LLC, Managing Partner

Beatrice Weder di Mauro Member University of Mainz, Professor of Economics, Economic Policy and International Macroeconomics

Joseph Yam Member China Society for Finance and Banking, The People s Bank of China, Executive Vice President

2015 6

:1 Professional history