About us

A global financial services firm with a focused model built around our clients' needs.

Our management

Meet the Investment Bank Co-Presidents

Portrait of George Athanasopoulos, Co-President UBS Investment Bank

George Athanasopoulos

Co-President of the Investment Bank, Member of the UBS Group Executive Board

Portrait of Marco Valla, Co-President UBS Investment Bank

Marco Valla

Co-President of the Investment Bank, Member of the UBS Group Executive Board

Meet the team

Jason Barron

Head of Global Markets

Simon Croxford

General Counsel
 

Zoë Evans

Chief Digital & Information Officer

Dan Persson

Chief Risk Officer

Caroline Stewart

Chief Financial Officer

Julie Beavan

Chief of Staff

Dan Dowd

Global Head of Investment Bank Research and Evidence Lab

Richard Kennedy

Head of Compliance & Operational Risk Control

John Robarts

Head of Human Resources Investment Bank, and UK

Taichi Takahashi

Head of APAC

Kristi Brown

Chief Operating Officer

Michael Ebert

Head of Americas

Javier Oficialdegui

Head Global Banking

Imed Souki

Head of Risk and Resource Management
 

Our business

Global Banking

Partnering with you to understand your business needs and tailor opportunities to meet your strategic goals. Dedicated to delivering best-in-class solutions to all our clients, we work across our coverage groups and product verticals, leveraging our global team to provide consistency within our specialized expertise.

Global Markets

To help you generate alpha and overcome complexity, we deliver unique liquidity combined with seamless execution, truly differentiated advice, solutions and content.

Global Research

Our multi-asset class global research team's primary goal is to support you in analyzing the pivotal questions that drive your investment decisions. We bring you differentiated content on global financial markets and securities with coverage of ~3,600 stocks in over 50 different countries.

Our culture

Nothing has a greater impact on the success of our business than our culture

We believe our culture is the single most important factor in our success. It shapes policy and process, informs what it is like to work here, and delivers longterm value for our stakeholders. Everyone from our President to our newest employee is equally responsible for owning and protecting our culture, and everyone can influence it.

Learn about our culture

Our Awards

2025

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Derivatives House of the Year,

Structured Products House of the Year,

Currency Derivatives House of the Year

Risk Awards 2025

2024

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Best User Experience – Large Clients

The TRADE – Leaders in Trading Awards 2024

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Best Investment Bank in APAC, Best ECM House in APAC, Most Innovative Deal in Australia & New Zealand.

FinanceAsia Achievement Awards 2024

  • Most Innovative Deal in Hong Kong SAR (Highly commended)
  • Best M&A House in APAC (Highly commended)
  • Most Innovative Deal, Best Bond Deal, Best Equity Deal, Best M&A Deal, Best Infrastructure Deal in Australia & New Zealand SAR (Highly commended)
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The World's Best FX Bank, The World's Best Bank for FX Liquidity, The World's Best FX Bank for Sales, The World's Best Bank for FX Trading Technology, The World's Best FX Single Dealer Platform, The World's Best Bank for FX Spot, Switzerland's Best FX Bank

Euromoney FX Awards 2024

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Derivatives House of the Year Asia and Australia, Credit Derivatives House of the Year, Equity Derivatives House of the Year.

AsiaRisk Awards 2024

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Best Investment Bank in Switzerland,
Indonesia, New Zealand and The
Philippines, Best International
Investment Bank in Malaysia

Euromoney, Awards for Excellence 2024

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Best Single-dealer Platform, Best NDF House, FX House of the Year, Japan

FX Markets, Asia FX Awards 2024

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Best Equity Bank for Western Europe, Best Investment Bank for Financial Institutions, Best Investment Bank in Australia and Switzerland

Global Finance, Investment Bank Awards 2024

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Best International Investment Bank in China, Hong Kong and The Philippines

FinanceAsia Awards 2024

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Hong Kong Equity Issue,
South Korea Capital Markets Deal

IFR Asia Awards 2023, February 2024

2023

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Best Investment Bank in Asia & Australia, Best M&A House in Asia, Best Bond Deal in ANZ, Best Equity Deal in ANZ

FinanceAsia Achievement Awards 2023

     
    • Most Innovative Deal – Australia and New Zealand
    • Best ECM House – Asia (highly commended)
    • Best M&A Deal Australia and New Zealand (highly commended)
    • Best M&A Deal – Southeast Asia (highly commended)
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    Best FX Liquidity Provider, Best FX Bank for WM, Best Bank for FX Options, Best Bank FX Liquidity Provider

    Euromoney, FX Awards 2023

       
      • Best Bank FX Liquidity Provider
      • Best Bank FX Trade Analytics
      • Best Single Dealer Platform
      • Best FX Liquidity Provider
      • Best FX Bank for WM
      • Best Bank for FX Options
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      Research & Strategy House of the Year: Europe & Asia

      Global Capital Americas, Global Derivatives Awards

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        Most Active Placement Firm globally

        Private Equity International, Top Private Equity Placement Agents of 2023

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          Best International Investment Bank in China, Best International Investment Bank in Malaysia

          Asiamoney, Best Bank Awards 2023

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            Best Bank in Switzerland, Western Europe’s Best Bank for Financing, World’s Best Bank for ESG Data and Technology

            Euromoney, Awards for Excellence 2023

               
              • Best Investment Bank in Australia
              • Best Investment Bank in New Zealand
              • Best Investment Bank in Greece
              • Best Investment Bank in Philippines
              • Best Investment Bank in Switzerland
              • Best Bank in Switzerland
              • Western Europe’s Best Bank for Financing
              • World’s Best Bank for ESG Data and Technology
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              #2 Sales team, #2 Research team (ex-Japan), #3 Corporate Access

              Institutional Investors All-Asia Survey 2023 accolades

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                Best NDF House, Best Bank FX Liquidity Provider, Best FX Swaps and Forwards House, Best FX Options House

                FX Markets, Asia Awards 2023

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                  #1 Precious Metals Overall, Precious Metals Research, Gold, Silver, Platinum and Palladium and Best Commodities Dealer

                  Risk Energy, 2023 Commodity Rankings

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                  Swiss Franc Bond House, Europe's Financial Bond House and Asia-Pacific Equity House of the Year

                  IFR Awards 2022 (announced February 2023)

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                  Asia Equity House of the Year and Australia/New Zealand Equity House

                  IFR Asia Awards 2022 (announced February 2023)

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                  Best Bank for Financial Institutions and Best Investment Bank in Switzerland, Australia, Malaysia and New Zealand

                  Global Finance World's Best Investment Bank Awards 2023

                     
                    • Best Investment Bank – Australia
                    • Best Investment Bank – Malaysia
                    • Best Investment Bank – New Zealand 
                    • Best Investment Bank – Switzerland 
                    • Best Bank for Financial Institutions – Global
                    • Best M&A Bank – Asia Pacific
                    • Best Equity Bank – Asia Pacific
                    • Best Equity Bank – Western Europe

                    2022

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                    Best Investment Bank Asia and Australia

                    FinanceAsia Achievements Awards 2022

                    • Best Investment Bank of the Year – Asia
                    • Best Investment Bank of the Year - Australia
                    • Best M&A House of the Year - Australia/New Zealand
                    • Best Equity House of the Year - Australia/New Zealand

                    #1 All-Asia Sales Team

                    Institutional Investor Global Equity Research Rankings 2022

                    #1 All-China Research team

                    #1 Foreign broker All-China Sales team

                    #2 All-Asia (ex-Japan) Research team

                     

                    #3 Global Equity Research Team

                    #3 Asia's Top Corporate Access Provider

                    #3 China's Top Corporate Access Provider

                    Best Single Dealer

                    FX House of the Year Japan, Best Bank FX Liquidity Provider, Best FX Swaps and Forwards House, Best FX Options House

                    FX Markets Asia Awards 2022

                    Best Single Dealer

                    Best Single-Dealer Platform and Best Prime Broker

                    FX Markets e-FX Awards 2022, June 2022

                    Best Investment Bank in the Philippines, Best Investment Bank in New Zealand, Best Investment Bank in Indonesia

                    APAC Euromoney Awards

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                    Best Investment Bank (Switzerland)

                    Euromoney Awards for Excellence, June 2022

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                    #2 Overall Market Share, #2 Overall Electronic and #2 Overall EM Currencies

                    Euromoney FX Survey, June 2022

                    #2 Overall Market Share
                    #2 Overall Electronic
                    #2 Overall EM currencies
                    #2 Overall Options
                    #5 Swaps Excluding Short Dated
                    #4 Swaps Including Short Date

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                    Best Bank for Sustainable Finance (Switzerland)

                    Global Finance Sustainable Finance Awards, May 2022

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                    #1 All-Asia Sales Team, #2 All-Asia (ex-Japan) Research team, #3 Asia's Top Corporate Access Provider

                    Institutional Investors All-Asia Survey 2022 accolades

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                    Excellence in Sell-Side Trading - Kitty Li, UBS Head of Agency Electronic Trading APAC

                    2022 Women in Finance Asia Awards

                    Stock Connect - Top Broker

                    Hong Kong Exchange Awards 2021

                    • Stock Connect - Top Broker
                    • Structured Product - Top Issuer by Turnover and Top Issuer by Issuance
                    • Equity Derivatives Top Broker - HSI Options on Futures and HSTech Index Futures & Options
                       

                    #1 Overall Research in Precious Metals

                    Energy Risk, Commodity Rankings 2022, March 2022

                    #1 Precious Metals Overall - 11th year in a row
                    #1 Precious Metals Research - 11th year in a row
                    #1 for Gold - 11th year in a row
                    #1 for Silver - 11th year in a row
                    #1 for Palladium - 11th year in a row
                    #1 for Platinum - 11th year in a row

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                    Best Bank for Financial Institutions (Global), Best Equity Bank (Western Europe) and Best Investment Bank in Switzerland

                    Global Finance, World’s Best Investment Banks 2022, February 2022

                    • Best Bank for Financial Institutions (Global)
                    • Best Equity Bank (Western Europe)
                    • Best Investment Bank in Switzerland
                    • Best Bank for M&A, APAC
                    • Best Investment Bank in Indonesia
                    • Best Investment Bank in Vietnam

                    Currency Derivatives House of the Year

                    Risk, Risk Awards 2021, February 2022

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                    #2 Global Equity Research Team

                    Institutional Investor, 2022 Global Equity Research Rankings, January 2022

                    2021

                    Ranked best bank for FX in seven categories

                    FX Markets Best Bank Awards 2021, December 2021

                    • Best Bank for spot
                    • Best Bank for EEMEA
                    • Best Bank for USD/CHF
                    • Best Bank for GBP/USD
                    • Best Bank single-dealer platform
                    • Best Bank for e-trading
                    • Best Bank for wealth management

                    Equity Derivatives House of the Year

                    Global Derivatives Awards 2021,  GlobalCapital, September 2021

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                    #1 Equity Raising

                    Investment Banking Awards 2021, The Banker, September 2021

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                    Best Equities Trading Platform

                    2021 Markets Choice Awards, Markets Media, May 2021

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                    Best International Investment Bank in the Philipines, Best International Investment Bank in Thailand

                    FinanceAsia Country Award 2021, FinanceAsia, May 2021

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                    Ranked #1 Overall Precious Metals for 10 consecutive years

                    Energy Risk Magazine Rankings 2021

                    • #1 Overall Precious Metals
                    • #1 Gold
                    • #1 Silver
                    • #1 Platinum and Palladium
                    • #1 Precious Metals Research

                    Read more about the results here.

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                    Best Investment Bank in Philippines and Thailand

                    Euromoney, Regional Awards for Excellence, July 2021

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                    Ranked #2 Overall market share, #2 Electronic Markets and top 3 in eight other categories 

                    Euromoney, Foreign Exchange Survey, July 2021

                    • #2 Overall market share
                    • #2 Electronic market share
                    • #3 Emerging Markets volumes
                    • #2 Spots/Forwards
                    • #2 Electronic Spots/Forwards
                    • #2 Swaps
                    • #1 Electronic Swaps
                    • #1 APAC
                    • #2 Western Europe
                    • #2 Americas

                    Best International Investment Bank - Philippines and Thailand

                    FinanceAsia Country Awards 2021, May 2021

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                    Best Equity House – Australia / New Zealand 

                    IFR Asia Awards 2020, February 2021

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                    Best Investment Bank in Switzerland and Western Europe, and Best Bank for M&A in Western Europe

                    Global Finance, World’s Best Investment Banks 2020, February 2021

                    Cross-border M&A Deal of the year, Restructuring Deal of the Year, Initial Public Offering Deal of the Year, Corporate Liability Management of the Year

                    Latin Finance, Deals of the Year 2020, January 2021

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                    #1 Global Equity Research

                    Institutional Investor, 2020 Global Rankings, January 2021

                    2020

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                    Regional Best Overall Services to Hedge Funds, Regional Best Overall Services in Prime Broking and Best for Execution – Cash Equities (Australia)

                    Asiamoney Brokers Poll 2020, December 2020

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                    UBS wins German M&A Financial Adviser of the Year

                    Mergermarket Europe M&A Awards 2020, December 2020

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                    UBS wins Switzerland M&A Financial Adviser of the Year

                    Mergermarket Europe M&A Awards 2020, December 2020

                    Investment Bank of the Year for Equity Raising, and Best Technology Innovation in Investment Banking

                    The Banker, Investment Banking Awards, Global, September 2020

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                    UBS wins Asia Risk Derivatives House of the Year Ex-Japan

                    Asia Risk Awards 2020, September 2020

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                    UBS Investment Bank awarded Quant House of the Year

                    Asia Risk Awards 2020, September 2020

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                    Best Investment Bank in Australia, and Thailand

                    Euromoney, Regional Awards for Excellence, July 2020

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                    Ranked #2 Overall market share, #3 Overall electronic trading and top 5 in six other categories

                    Euromoney, Foreign Exchange Survey, June 2020

                    • #2 Overall market share
                    • #3 Overall Electronic
                    • #2 Banks
                    • #2 Leveraged Funds
                    • #5 Real Money
                    • #4 Spots/Forwards
                    • #2 Swaps (excl Short-dated)
                    • #5 Swaps (incl Short-dated)
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                    UBS Investment Bank Innovation Lab recognized as one of the World's Best Financial Innovation Labs

                    Global Finance, The Innovators – Best Financial Innovation Labs, May 2020

                    For the seventh year in a row, UBS Neo was named Best Multi-Asset Class platform.

                    The team were also awarded the following Awards for e-FX Excellence

                    • Structured Products
                    • FX Options
                    • Post Trade
                    • Research
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                    M&A Deal of the Year for Global Banking Americas

                    Natura & Co acquisition of Avon
                    The Banker, Deal of the Year, May 2020

                    UBS Neo named Best Multi-Asset Class Platform and FX team awarded for eFX Excellence

                    UBS Neo named Best Multi-Asset Class Platform and FX team awarded for eFX Excellence

                    Profit & Loss, Digital FX Awards, April 2020

                    For the seventh year in a row, UBS Neo was named Best Multi-Asset Class platform.

                    The team were also awarded the following Awards for e-FX Excellence

                    • Structured Products
                    • FX Options
                    • Post Trade
                    • Research
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                    ECM Bank of the Year for Financial Institutions

                    Global Capital, Equity Capital Markets Awards 2019, February 2020

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                    Best Equity Bank (Global), Best Investment Bank in Hong Kong

                    Global Finance, World's Best Investment Banks, February 2020

                    • Best Debt Bank in Asia-Pacific
                    • Best M&A Bank in Asia-Pacific
                    • Best Bank for New Financial Technology in Asia-Pacific
                    • Global Best Equity Bank
                    • Best Investment Bank in Hong Kong

                    Best Trading Solution for Fixed Income Markets

                    TradingTech Insight Awards Europe 2020, February 2020

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                    Best Warrant Provider and Best House for Interest Rates

                    Structured Retail Products, Europe Awards, January 2020

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                    No.1 Dealer in Precious Metals overall and Precious Metals Research, No.1 in Gold, Silver, Platinum, Palladium

                    Energy Risk Commodity Rankings, January 2020

                    2019

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                    Top 3 China A-Share Index Inclusion Brokers of the Year and Top 3 Brokers of the Year

                    *according to their total Northbound trade volume
                    Hong Kong Exchange & Clearing (HKEX), Stock Connect Awards, December 2019

                    Research House of the Year

                    Risk Awards 2020, December 2019

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                    Best Bank for Swiss Francs

                    FX Week, Best Bank Awards, November 2019

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                    #1 Global Equity Research

                    Institutional Investor, 2019 Global Rankings, November 2019


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                    Most Innovative Bank Platform UBS Neo (Orca-Direct), Best Liquidity Providers (Global), Best FX Provider (Western Europe)

                    Global Finance, World's Best Foreign Exchange Providers 2020, November 2019

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                    Most Innovative Bank for IPO and Equity Raising

                    The Banker, Investment Banking Awards, October 2019

                    Equities Derivatives House of the Year (Global)

                    Global Capital, Derivatives Awards, September 2019

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                    #1 Global Borrower for Equities, #1 EMEA Fixed Income Lending

                    International Securities Finance survey, September 2019


                    Fifth year in a row, Asia Risk magazine awards Equity Derivatives House of the Year to UBS

                    Asia Risk magazine, Asia Risk Awards, September 2019

                    Best FX liquidity provider of the year

                    FX Week, eFX Awards, July 2019

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                    #1 Economics & Strategy, Pan-European Brokerage Firm, Overall Research, and #2 Overall Broker

                    Extel Survey, Europe Awards, June 2019

                    • #1 Economics & Strategy: Leading Pan-European Brokerage Firm - Economics & Strategy Research (Based on Commissions Paid) by Key FMs
                      • #1 Global: Leading Pan-European Brokerage Firm for Global Equity Sectors (Based on Commissions Paid) by Key FMs
                        • #1 Overall Research: Leading Pan-European Brokerage Firm for Equity & Equity-Linked Research (Based on Commissions Paid) by Key FMs
                          • #2 Overall Broker: Leading Pan-European Equity House (Based on Commissions Paid) by Key FMs
                            • #1 Program/Portfolio Trading: Top Three Brokerage Firms - Equity Trading & Execution Service (Based on Commissions Paid) by Key FMs
                              • #1 Emerging EMEA: Economics: All Brokerage Firms - Emerging EMEA (EMEA Commissions Paid)
                                • #1 Emerging EMEA: Equity Strategy: All Brokerage Firms - Emerging EMEA (EMEA Commissions Paid)

                                Equity Derivatives House of the Year
                                FX Derivatives House of the Year

                                GlobalCapital, Americas Derivatives Awards, May 2019


                                Best Multi-Asset Class Platform, Post Trade Award and Structured Products Award

                                Profit and Loss, Digital FX Awards, May 2019

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                                UBS Research and UBS Evidence Lab ranked #1 vs bulge bracket peers as "Best at leveraging alternative data"

                                Greenwich Associates Survey of U.S. Equities – North American Equity Investors, May 2019

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                                Five years in a row, Structured Retail Products magazine named UBS Equity Derivatives APAC, Best Warrants Provider

                                Structured Retail Products, April 2019

                                • Best Private Bank, Asia Pacific
                                • Best Distributor, Australia

                                UBS Public Distribution Switzerland wins at Swiss Derivative Awards 2019

                                Swiss Derivative Awards, March 2019

                                • Best Commodities Product
                                • Top Service Award

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                                UBS ranked the leading bank dealer in the six main Precious Metals categories

                                EnergyRisk Commodity Rankings, March 2019

                                • #1 Precious Metals – Dealers
                                • #1 Gold – Dealers
                                • #1 Silver - Dealers
                                • #1 Platinum and Palladium - Dealers
                                • #1 Research in Precious Metals
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                                Best M&A Bank (global), Best Investment Bank in China, Hong Kong and Singapore, and Best Equity Bank in Western Europe

                                World's Best Investment Banks, Global Finance, February 2019

                                • Global Best M&A Bank
                                • Best Equity Bank in Western Europe
                                • Best Investment Bank in China
                                • Best Investment Bank in Hong Kong
                                • Best Investment Bank in Singapore
                                • Best Bank for New Financial Technology in Western Europe
                                • Best Bank for New Financial Technology in Asia-Pacific
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                                UBS ranked #1 in 2019 All-Europe II Research Team Survey

                                Institutional Investor, January 2019

                                UBS Research has ranked #1 in Institutional Investor's All-Europe Research Team Survey for the second year in a row, with a total of 43 ranked teams out of a possible 44. The survey reflects the opinions of over 1,900 directors of research and heads of investment from institutions managing a combined $4 trillion in European equities.

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                                Swiss Franc Bond House, EMEA Structured Equity House, and North America Leveraged Loan

                                IFR Awards 2018, January 2019

                                • Swiss Franc Bond House
                                • EMEA Structured Equity House
                                • North America Leveraged Loan (ION Trading)
                                • Swiss Franc Bond (Nestle), shared win
                                • EMEA Structured Equity Issue (Swiss Re), shared win

                                2018

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                                Best Investment Bank and Best Equities House, along with six deal awards

                                Achievement Awards, FinanceAsia, 2018

                                • Best Indonesia Deal: Bank of Tokyo-Mitsubishi UFJ's US$5.9bn acquisition of a 73.8% stake in Bank Danamon from Fullarton Holdings
                                • Best Philippines Deal: San Miguel Food & Beverage's Ps34.1bn (US$637m) follow-on
                                • Best Belt & Road Deal: Bank of China's US$2.3bn multi-tranche multi-currency bond
                                • Best IPO: Viva Energy A$2.65bn
                                • Best M&A Deal: CDH-CGP Consortium's A$1.9bn acquisition of Sirtex Medical
                                • Best Local Bond: Virgin Australia high-yield 56NC3 bond, A$150m
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                                Best Corporate and Institutional adviser – global and Best M&A Adviser China, and Hong Kong, and 14 deal awards

                                Country Awards, The Asset, 2018

                                • Best IPO: Meituan Dianping US$4.2 billion IPO
                                • Best investment-grade bond: Vanke Real Estate US$650 million five-year floating rate notes
                                • Best FIG bond: Bank of China US$2.65 billion equivalent multi-currency One Belt One Road senior bond offering
                                • • Best high-yield bond: Agile Group Holdings US$300 million perpetual non-call five-year hybrid
                                • Best block trade: Lifestyle International and Lifestyle China US$665 million block trade
                                • Link Asset Management disposal of HK$23 billion of property portfolio to consortium led by Gaw Capital Partners
                                • • Best IPO: HDFC Standard Life Insurance US$1.3 billion IPO
                                • Best follow-on offering: HDFC Bank US$1.82 billion ADS follow-on offering
                                • Best corporate bond: Hyundai Capital Services CHF300 million senior bonds
                                • Best green bond: Korea Hydro & Nuclear Power Company US$600 million
                                • Best FIG bond: Security Bank US$300 million senior unsecured notes
                                • Best liability management: Petron Corporation US$500 million new perpetual capital securities and tender offer
                                • Best IPO: Gulf Energy Development Public Company US$702 million IPO
                                • Best convertible bond: Asia Cement Corporation US$215 million NTD-linked convertible bonds
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                                Best International Bank, Australia

                                AsiaMoney, 2018

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                                UBS named #1 in Global Equities Research

                                Institutional Investor's Top Global Research Firms, 2018

                                For the second year in a row, UBS has been named Institutional Investor's Top Global Equity Research Firm of the Year, retaining the top spot in the annual ranking. The ranking, based on votes by buy-side analysts and portfolio managers, is an important distinction for sell-side analysts and research teams. Clients voted for their preferred research analysts and teams in each region. Collectively, this resulted in UBS holding 157 leading positions across the world, ranking well ahead of peers.


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                                Structured Products House of the Year

                                Global Derivatives Awards, Global Capital, 2018

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                                Most Innovative Bank for Equity-linked Products and Most Innovative Bank for IPO and Equity Raising

                                The Banker, Investment Banking Awards, 2018

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                                #1 in GEM Economics & Macros, and GEM Strategy

                                Extel Survey, Europe Awards, 2018

                                • #1 GEM Economics & Macro: Top Three Brokerage Firms - Economics & Strategy Research (Based on EMEA Commissions Paid)
                                • #1 GEM Strategy: Top Three Brokerage Firms - Economics & Strategy Research (Based on EMEA Commissions Paid)
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                                Best Spot House in Asia, Best e-FX Trading House in Asia, and Best FX Post Trade Provider in Asia

                                Asia FX Awards, FX Week, 2018


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                                Best Investment Bank in Western Europe, and Australia

                                Euromoney's Award for Excellence, 2018

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                                No 1. Europe Access Provider

                                Institutional Investor's All-Europe Corporate Access Ranking, 2018

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                                Pan-European High Touch Trading, European Portfolio Trading

                                Institutional Investor's All-Europe Equity Trading Team, 2018

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                                #1 in America, Flow insight, trends and market structure

                                Institutional Investor's All-America Trading Team, 2018


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                                #1 Equity Trading & Execution Service, Derivatives Sales, Small & Mid Cap Trading & Execution, and Equity Sales

                                ExtelSurvey, Europe Awards, 2018

                                • #1 Derivatives: Sales: Top Three Brokerage Firms - Derivatives & Convertibles (Based on Commissions Paid) by Key FMs
                                • #1 Global Equity Sales: Top Three Brokerage Firms - Sales (Based on Commissions Paid) by Key FMs
                                • #1 Pan-European: Small & Mid Caps Trading & Execution: Top Three Brokerage Firms Countries (Inc. Small & Mid Caps) (Based on Commissions Paid)
                                • #1 Program/Portfolio Trading: Top Three Brokerage Firms - Equity Trading & Execution Service (Based on Commissions Paid) by Key FMs
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                                Neo named Most Innovative Bank e-FX Platform of the Year

                                eFX Awards, FX Week, 2018

                                • Bank e-FX initiative of the year
                                • Best bank algorithmic trading technology provider of the year
                                • Most innovative bank e-FX platform of the year
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                                Ranked #2 for Overall Market Share, #1 in Swaps Market Share and a Top 5 ranking in 15 other categories

                                FX Survey, Euromoney, 2018

                                • #2 in Overall Market Share
                                • #3 in Spot/Forwards Market Share
                                • #1 in Swaps Market Share
                                • #5 in Options Market Share
                                • #7 in Emerging Markets Currencies
                                • #2 in Real Money
                                • #2 in Banks
                                • #4 in Leveraged Funds
                                • #5 in FX Trading Platforms
                                • #3 in Western Europe Market Share
                                • #3 in APAC Market Share
                                • #3 in Central/Eastern Europe Market Share
                                • #5 in Americas Market Share
                                • #3 in Overall Electronic Market Share
                                • #4 in Spot E-trading Market Share
                                • #1 in Swap E-trading Market Share
                                • #3 in Options E-Trading Market Share
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                                Sellside Electronic Execution Department of the Year

                                Trading & Technology Awards, Financial News, 2018


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                                Japan House of the Year; China House of the Year

                                Structured Products Awards, 2018

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                                Best House for Warrants; Hong Kong; China

                                Structured Retail Products Awards, 2018

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                                Most Impressive Debt Advisory House for Financial Institutions and five other categories

                                Bond Awards, Global Capital, 2018

                                • Most Impressive Bank for FIG AT1 Capital
                                • Most Impressive Debt Advisory House for Financial Institutions
                                • Most Impressive FIG House in Niche Currencies
                                • Most Impressive FIG Syndicate Banker - Armin Peter
                                • Best FIG Sales Expertise
                                • Bank Most Likley to Win Repeat FIG Bond Mandates
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                                Best Platform, Best Rates Platform, Best Post-trade, and Best Structured Products Platform

                                Profit and Loss Digital FX Awards, 2018


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                                IPO Bank of the Year, and ECM Bank of the Year for Financial Institutions

                                ECM Awards, Global Capital, 2018

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                                Top Service Award

                                Swiss Derivatives Awards, Derivative Partners, 2018

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                                Best M&A Bank

                                World's Best Investment Banks, Global Finance, 2018

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                                Top Shanghai and Top Shenzhen Connect Trading by an International Broker

                                Hong Kong Exchange & Clearing (HKEX), 2018


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                                Equity Derivatives, FX Derivatives, and Research and Strategy House of the Year

                                Americas Derivatives Awards, Global Capital, 2018

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                                APAC Corporate Bond and Green Finance Deal of the Year, and Europe M&A Deal of the Year

                                The Banker, Deal of the Year, 2018

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                                Best Liquidity Provider

                                World’s Best Foreign Exchange Providers, Global Finance, 2018

                                2017

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                                Best Equity Issue and three other categories

                                IFR Asia, 2017

                                • SRI Bond of the Year: ICBC's US$2.15bn dual-currency Green bonds
                                • Best Equity Issue: ZhongAn Online P&A Insurance US$1.76bn IPO
                                • Australia/NZ Equity Issue: Royal Dutch Shell's sale of its stake in Woodside Petroleum
                                • Thailand Capital Markets Deal: TOA Paint's US$372m IPO
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                                Winner of six categories in FinanceAsia's Achievements Awards

                                FinanceAsia, 2017

                                • Best IPO Australia: Netwealth A$264m IPO
                                • Best Secondary Offering Australia: Nufarm entitlement offer A$446m
                                • Best International Bond Australia (Joint Winner): Bank of Queensland conditional        pass-through covered bond Euro500m
                                • Best Hybrid Australia: Westpac perpetual NC10 AT1, US$1.25bn
                                • Best Investment Bank, Australia
                                • Best Equity House, Australia
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                                Awarded 21 category wins by The Asset

                                The Asset, 2017

                                • Best Corporate Bond, India: Marble II (Mphasis) US$500m senior notes
                                • Best Green Bond: India Neerg Energy's US$475m green bond
                                • Best Equity, Indonesia: Sarana Menara Nusantara US$405m secondary placement
                                • Best New Bond, Indonesia: Ska Energi Indonesia US$625m debut bond
                                • Best Secondary Offering, Philippines: Metro Pacific Corporation US$256m accelerated sell-down of shares in Meralco
                                • Best Rights Isssue, Philippines: BDO Unibank US$1.2bn rights offering
                                • Best Bond, Philippines : Republic of the Philippines US$2bn global bonds and switch tender
                                • Best IPO, Singapore: Netlink NBN Trust S$2.35bn IPO
                                • Best Covered Bond, Singapore: United Overseas Bank dual currency US$500m and Euro500m covered bonds
                                • Best M&A Adviser, Hong Kong
                                • Best IPO, China: ZhongAn Online P&C Insurance Company US$1.75bn IPO
                                • Best New Bond, China: China Chentong Holdings US$500m senior bond
                                • Best Corporate Bond, China: State Grid Corporation of China US$5bn multi-tranche bond
                                • Best Bank Capital, China: Postal Savings Bank of China US$7.25bn additional tier-1 capital securities
                                • Best FIG Bond, China: China Development Bank US$4bn multi-tranche dual currency bond
                                • Best Green Bond, China: China Three Gorges Corporation Euro650m green bond
                                • Best Cross-border, China: China National Chemical Corporation's US$4.3bn acquisition of Syngenta
                                • Best Corporate Bond, Hong Kong: Cheung Kong Property US$1.5bn fixed-for-life perpetual securities
                                • Best IPO, Korea: Celltrion Healthcare US$887m IPO
                                • Best Bond, Korea: Kyobo Life Insurance Company US$500m subordinated capital securities
                                • Best IPO, Taiwan: FIT Hon Teng US$394m IPO
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                                Best for Overall Client Service Coverage, and 22 other categories

                                AsiaMoney Bankers Poll, 2017

                                • Best for overall services for hedge funds
                                • Best for client service coverage
                                • Best trading execution - Cash (Australia)
                                • Best for overall services in prime broking
                                • Best for innovation in prime broking
                                • Best for client service for prime broking
                                • Best execution - Australia
                                • Best economist - Scott Haslem
                                • Best team economic for research
                                • Best team for automobiles and components
                                • Best team for industrials (Australia)
                                • Best small cap analyst: Gautam Chhaochharia (Australia)
                                • Best anlayst for insurance: Mairko Watanabe (Australia)
                                • Best team for diversified financials (Australia)
                                • Best team for insurance (Australia)
                                • Best team for utilities (India)
                                • Best analyst for casinos and gaming - Ramon (Rj) Aguirre (Japan)
                                • Best analyst for utilities: Karen Hizon (Japan)
                                • Best team for casinos and gaming (Japan)
                                • Best team for telecommunications services (Philippines)
                                • Best analyst for transportation: Cheryl Lee (Philippines)
                                • Best team for materials (Philippines)
                                • Best team for transportation (Philippines)

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                                Best International Bank

                                AsiaMoney, 2017

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                                North America Leverage Loan, Mid-Market Loan and Financial Bond of the Year

                                IFR Awards, 2017

                                • North America Leveraged Loan (DigiCert)
                                • North America Mid-Market Loan (SnapAV)
                                • North America Financial Bond of the Year (Bank of Nova Scotia)
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                                Media Deal of the Year - TMT IPO of the Year

                                TMT Finance , World Awards 2017

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                                House of the Year Switzerland, and Italy, and Deal of the Year

                                Structured Products, Europe Awards 2017


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                                Five deals win at Finance Asia's awards

                                Finance Asia, 2017

                                • Best China Deal: CIC's Euro12.25bn (US$13.766bn) privatisation of Logicor Europe Ltd
                                • Best Philippines Deal: BDO Unibank US$1.2bn rights offering
                                • Best Deal of the Year/Best Leveraged Finance Deal: The US$4.65bn take private of Global Logistic Properties
                                • Best M&A Deal: ChemChina's USS$43bn acquisition of Syngenta
                                • Best ESG Deal: ICBC Luxembourg US$2.15bn equivalent dual-currency, triple-tranche green bond
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                                Top Performer Award for trade idea performance at bulge brackets (Asia, ex-Japan)

                                TIM Group, 2017

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                                Best Provider of Commodity-linked Structured Products

                                Asian Private Banker, 2017