a. New UBS Engagement / Change of UBS External Staff Category (III to I)

 

Pre UBS start date:

Latest within 4 weeks after UBS start date:

  • Identity Document Check (performed by supplier)
  • Right to Work Document Check (performed by supplier)
  • External Directorship Self Declaration
  • Global Background Check (performed by supplier)
  • Family Relationship Self Declaration
  • Registered Status (if applicable)
  • USA only: Domestic Credit and Domestic Criminal Check
  • USA only: Fingerprinting (initiated by UBS)
  • Criminal Record Check / Civil Litigation Check (as applicable)
  • Credit Check / Bankruptcy Check (as applicable)
  • External Directorship and positions (database)

Pre UBS start date:

Latest within 4 weeks after UBS start date:

  • Identity Document (performed by supplier)
  • Check Right to Work Document Check (performed by supplier)
  • Family Relationship Self Declaration
  • External Directorship Self Declaration
  • Global Background Check (performed by UBS)
  • Registered Status (if applicable)
  • USA only: Fingerprinting initiated by UBS

NA

c. International Transfers

 

Pre UBS start date:

Latest within 4 weeks after
vetting initiation:

  • Identity Document Check (performed by supplier)
  • Right to Work Document Check (performed by supplier)
  • Registered Status (if applicable)
  • USA only: Fingerprinting initiated by UBS

NA