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    Corporate Governance

    Organization StructurePDFpdf, 91 KB

    Daniel Lam – Commissioner

    Daniel Lam is Executive Director Equity Management Asia Business Management of UBS AG. Daniel joined UBS AG since 2005 and be responsible for any issue on the trading team related to the regulator. Prior joining UBS AG, Daniel was with Surveillance and Litigation division of Hong Kong Securities and Futures Commission in 1999-2005. Daniel holds Master of Law degree from University of Hong Kong in 1994.

    Watty Buwanawati – Independent Commissioner

    Before being appointed as the Independent Commissioner, Watty has almost 30 years of experience in the various international based financial institutions/banks, including 2 years with UBS AG Jakarta Representative Office. She graduated from Bandung Institute of Technology - Polytechnic Degree in Commerce in 1990 and went to University of Indonesia Extension Program.

    Daniel Lam – Commissioner

    Daniel Lam adalah Executive Director Equity Management Asia Business Management UBS AG. Daniel bergabung dengan UBS AG sejak tahun 2005 dan bertanggung jawab atas permasalahan yang terjadi di tim perdagangan yang berhubungan dengan lembaga pengawas atau bursa efek. Sebelum bergabung dengan UBS AG, pada tahun 1999 – 2005, Daniel bekerja di Hong Kong Securities and Futures Commission pada Divisi Pengawasan, Penyidikan dan Pelaksanaan. Daniel mendapatkan gelar Master of Law dari University of Hongkong pada tahun 1994.

    Watty Buwanawati – Independent Commissioner

    Sebelum diangkat sebagai Komisaris Independen, Watty memiliki sekitar 30 tahun pengalaman kerja di berbagai lembaga keuangan/bank internasional, termasuk selama 2 tahun di UBS AG Jakarta Representative Office. Watty mendapatkankan gelar dari Institut Teknologi Bandung – Sekolah Politeknik pada tahun 1990 dan mengikuti Program Extension Fakultas Ekonomi Universitas Indonesia.

    Joshua Arief Tanja

    Joshua Tanja is Managing Director and Head of UBS Indonesia, Equities and Research. He joined UBS in October 2004 and covers Equity Strategy and the Bank sector. He has more than 24 years experience in Indonesian equities research. Joshua earned his MBA from IPMI in 1994, and has been a CFA charterholder since 1997. He hold a Bachelors degree in Physics from Universitas Indonesia in 1990.

    Andre Tjahjamuljo

    Andre is the Country Operating Officer. Andre has more than 22 years of experience in Indonesia capital markets and financial services. Prior joining PT UBS Sekuritas Indonesia, Andre spent 2 years with Bank of America Jakarta. He served as Director of PT Merrill Lynch Sekuritas Indonesia from 2010 -2016. Previously, he was the Senior Vice President of PT NISP Securities from 2007-2010 and served as the Director for PT Equity Development Investment, tbk. in 2006-2007. During 1996-2006, he was the General Manager for PT Equity Securities Indonesia. He worked for General Motors Acceptance Corporation – Residential Funding Corporation in Minneapolis during 1995-1996. Andre holds MBA degree in Finance from Carlson School of Management, University of Minnesota, Minneapolis, USA, and Bachelor of Science in Electrical Engineering from Trisakti University, Jakarta.

    Alexander Alvin Tjhin

    Alexander Alvin Tjhin is a Director at UBS Indonesia, Global Banking with over 12 years of experience in investment banking, private equity, and corporate finance. Alex joined UBS in 2015 and has worked on various Equity Capital Markets, Debt Capital Markets, and M&A transactions across multiple sectors including TMT, real estate, consumer, financial institutions, and natural resources. Alex holds a Bachelor of Science in Banking and Finance from the London School of Economics, University of London in 2009

    Joshua Arief Tanja

    Joshua Tanja adalah Managing Director dan Head of UBS Indonesia, Equities and Research. Joshua bergabung dengan PT UBS Sekuritas Indonesia pada bulan Oktober 2004 dan meliput Equity Strategy dan sector perbankan. Joshua memiliki pengalaman selama lebih dari 24 tahun di bidang Indonesian equities research. Joshua mendapatkan gelar MBA dari IPMI pada tahun 1994, dan sebagai CFA charterholder sejak tahun 1997. Joshua mendapatkan gelar sarjana dalam bidang Fisika dari Universitas Indonesia pada tahun 1990.

    Andre Tjahjamuljo

    Andre bertugas sebagai Country Operating Officer. Andre memiliki pengalaman lebih dari 22 tahun dalam bidang pasar modal dan jasa keuangan di Indonesia. Sebelum bergabung dengan PT UBS Sekuritas Indonesia, Andre berkarir selama 2 tahun di Bank of America cabang Jakarta, menjabat sebagai Direktur di PT Merrill Lynch Sekuritas Indonesia pada tahun 2010-2016, menjabat sebagai Senior Vice President dari PT NISP Securities pada tahun 2007-2010, sebagai Direktur dari PT Equity Development Investment, tbk pada tahun 2006-2007, serta sebagai General Manager di PT Equity Securities Indonesia. Andre bekerja di General Motor Acceptance Corporation – Residential Funding Corporation di Minneapolis pada tahun 1995-1996. Andre mendapatkan gelar MBA jurusan Finance dari Carlson School of Management, University of Minnesota, Minneapolis, USA, dan Sarjana Teknik Elektro dari Universitas Triksakti, Jakarta.

    Alexander Alvin Tjhin

    Alexander Alvin Tjhin adalah Director untuk UBS Indonesia, Global Banking dan telah berkarir selama lebih dari 12 tahun dalam bidang investment banking, private equity, dan corporate finance. Alex bergabung dengan UBS pada tahun 2015 dan telah menyelesaikan beragam transaksi Equity Capital Markets, Debt Capital Markets dan M&A dalam berbagai sektor termasuk TMT, real estate, consumer, financial institutions dan natural resources. Alex mendapatkan gelar sarjana dalam bidang Perbankan dan Finance dari London School of Economics, University of London pada tahun 2009

    Licensed PersonPDFpdf, 132 KB
    Financial StatementPDFpdf, 2 MB

    Resolution of the Annual General Meeting of Shareholders

    Based on the Annual General Meeting of Shareholders on 24 May 2024, the Shareholders of PT UBS Sekuritas Indonesia have resolved, among other things:

    • The audited financial statement for the year ended 31 December 2023,
    • The Directors' action for the year ended 31 December 2023 and to release and discharge the Directors and Commissioners
    • The appropriation of earning in respect to Financial Year 2023
    • Re-appointment of the members of the Board of Directors and Board of Commissioners.
    • Appointment of external auditors

    Keputusan Rapat Umum Pemegang Saham Tahunan

    Sesuai dengan hasil keputusan Rapat Umum Pemegang Saham Tahunan yang diselenggarakan pada 24 Mei 2024, Para Pemegang Saham PT UBS Sekuritas Indonesia telah memutuskan, antara lain:

    • Laporan Keuangan Auditan untuk tahun buku yang berakhir pada 31 Desember 2023.
    • Laporan pertanggung jawaban Dewan Direksi untuk tahun yang berakhir 31 Desember 2023 dan to release and discharge anggota Dewan Direksi dan Dewan Komisaris.
    • Sehubungan dengan keuntungan atas tahun buku 2023.
    • Pengangkatan kembali anggota Dewan Direksi dan Dewan Komisaris.
    • Penunjukan auditor eksternal.

    Any complaint that we receive relating to the product and/or service that we provide for you, verbally or in writing, will be followed up and resolved within the timeline as stipulated under the prevailing regulations, and in accordance with our internal policy and procedure.

    We will process your complaint within 20 working days, subject to applicable extension pursuant to prevailing regulations, as of all information and documents pertaining your complaint is received.
    For further information or complaint submission, you may contact the following email address ol-direksi-jakarta@ubs.com or call to +(6221)25547000

    We received report for Q4 2024 : Nil

    Pengaduan yang kami terima terkait dengan produk dan/atau layanan yang kami berikan kepada anda, secara verbal maupun tertulis, akan ditindaklanjuti dan diselesaikan dalam jangka waktu sebagaimana diatur dalam ketentuan yang berlaku, dan sesuai dengan kebijakan dan prosedur internal kami.

    Kami akan menindaklanjuti pengaduan anda dalam waktu 20 hari kerja, dan dapat diperpanjang sesuai ketentuan yang berlaku, sejak seluruh informasi dan dokumen yang kami perlukan terkait pengaduan anda telah diterima secara lengkap.
    Untuk informasi lebih lanjut atau penyampaian pengaduan nasabah, anda dapat mengirim email ke alamat berikut ini ol-direksi-jakarta@ubs.com atau menghubungi +(6221)25547000

    Kami menerima laporan untuk Q4 2024 : Nihil

    Description of Board of DirectorPDFpdf, 515 KB
    Ethic CodePDFpdf, 345 KB

    Risk Management Policy

    In the implementation of Risk Management, supervision over the associated risk types, namely Credit Risk, Market Risk, Liquidity Risk, Operational Risk, Legal Risk, and Compliance Risk, are conducted

    Kebijakan Managemen Resiko

    Dalam mengimplementasikan Manajemen Resiko, pengawasan dilakukan atas resiko-resiko yaitu Resiko Kredit, Resiko Pasar, Resiko Likuiditas, Resiko Operasional, Resiko Hukum, dan Resiko Kepatuhan

    • Compliance and Internal Audit PolicyPDFpdf, 136 KB
    • Sustainable ReportPDFpdf, 1 MB

    Anti-Fraud Strategy at PT UBS Sekuritas Indonesia

    At UBS, we are committed to the highest standards in conducting our business and implement a strong fraud risk management framework. Any allegations of suspected fraud are taken seriously and thoroughly investigated. UBS’s Group Anti-Fraud Policy is applicable to all staff working for UBS, including personnel providing services to UBS, or employed by a service provider to UBS. As a service provider to UBS, you are required to be aware of any indication of fraudulent behavior. Should you become aware of any suspected fraud or fraud related incident, please report to UBS at ol-compliance-jakarta@ubs.com

    Strategi Anti-Fraud PT UBS Sekuritas Indonesia

    Bagi UBS, kami berkomitmen pada standar tertinggi dalam melaksanakan usaha dan menerapkan kerangka manajemen risiko fraud yang kuat. Setiap dugaan fraud akan ditanggapi secara serius dan diinvestigasi secara menyeluruh. Kebijakan Anti Fraud Grup UBS berlaku bagi seluruh karyawan yang bekerja pada UBS, termasuk personel yang memberikan jasa kepada UBS, atau dipekerjakan oleh penyedia jasa kepada UBS. Sebagai penyedia jasa bagi UBS, Anda diminta untuk menyadari jika ada indikasi tindakan yang bersifat fraud. Apabila Anda menyadari adanya dugaan fraud atau insiden terkait fraud, mohon segera melaporkan kepada ol-compliance-jakarta@ubs.com.

    Watchlist Stock and Special Notation

    Pursuant to Indonesia Stock Exchange (IDX) regulation no. II-S dd. 27 May 2022 regarding Trading of Equity Securities Under Special Monitoring (Watchlist Stocks), and following the List of Equity Securities Under Special Monitoring (Watchlist Stocks) that was issued in July 2021, IDX has launched  the Watchlist Listing Board which is designated specifically to trade Watchlist Stocks. The trading of these Watchlist Stocks will be by periodic call auction.

     The stocks on the Watchlist Listing Board has been traded on Hybrid Call Auction (stage 1) since June 12, 2023, whereas the Full Call Auction (stage 2) started on March 25, 2024.

    Hybrid Call Auction meaning only selected watchlist stocks (ie. Illiquid stocks) in the Board will be traded by Call Auction, the remaining shares will be traded by continuous auction. Whilst the Full Call Auction allows transactions of all the 11 criteria of watchlist stocks.

    You might find the Watchlist Stocks in the IDX website on daily basis:

    https://www.idx.co.id/en/listed-companies/list-of-securities-under-special-monitoring

    In addition, for the purpose of investor protection, IDX presented new additional information for investors with regards to condition/circumstance of a listed company (listco) by putting special notation next to the listco's (stock) code i.a. when listco is facing bankruptcy, postponement of debt payment obligations, adverse opinion from auditing firm or other situations important to be disclosed to investors..

    The details are put in IDX Decree Kep-00040/BEI/04-2021 dated 30 April 2021 concerning Distribution of Information of Special Notation in a Listed Company's (Stock) Code to Clients. In line with IDX Regulation II.A. article II.8, please be informed that the Special Notation is issued on daily basis by IDX and can be accessed on IDX website.

    You might also find the watchlist stock in the List of Stocks with Special Notation. The Listed Company that meets the criteria for Equity Securities Under Special Monitoring (Watchlist Stocks) will be tagged with notation “X”

    https://www.idx.co.id/en-us/listed-companies/special-notation/

    Saham dalam Pemantauan Khusus dan Notasi Khusus

    Sesuai dengan Peraturan Bursa Efek Indonesia (BEI) nomor Peraturan II-X tertanggal 5 Juni 2023 tentang Perdagangan Efek Bersifat Ekuitas pada Papan Pemantauan Khusus, dan Daftar Saham dalam Pemantauan Khusus yang pada awalnya diterbitkan pada bulan Juli 2021, BEI telah meluncurkan Papan Pemantauan Khusus yang ditujukan secara khusus untuk memperdagangkan Saham dalam Pemantauan Khusus. Perdagangan Saham dalam Pemantauan Khusus dilakukan secara periodic call auction.

    Saham-saham yang berada dalam Papan Pemantauan Khusus telah diperdagangkan secara Hybrid Call Auction (tahap 1) sejak tanggal 12 Juni 2023, sedangkan Full Call Auction (tahap 2) dimulai pada tanggal 25 Maret 2024.

    Hybrid Call Auction berarti hanya saham-saham tertentu di Papan Saham dalam Pemantauan Khusus (misalnya saham yang tidak likuid) yang akan diperdagangkan secara Call Auction, sedangkan saham-saham lainnya akan diperdagangkan secara continuous auction. Sementara Full Call Auction memungkinkan perdagangan atas seluruh 11 kriteria Saham dalam Pemantauan Khusus.

    Anda dapat menemukan Daftar Saham dalam Pemantauan Khusus secara harian:

    https://www.idx.co.id/id/perusahaan-tercatat/daftar-efek-pemantauan-khusus

    Sebagai tambahan, dalam rangka perlindungan investor, BEI menyampaikan informasi tambahan bagi investor terkait kondisi/keadaan perusahaan tercatat dengan memberikan notasi/catatan khusus tepat disamping kdoe saham yaitu apabila perusahaan tercatat sedang menghadapi kebangkrutan, penundaan kewajiban pembayaran, adanya Opini Tidak Wajar (Adverse) dari Akuntan Publik atau situasi penting lainnya yang perlu disampaikan kepada investor.

    Detail atas hal ini dicantumkan dalam Keputusan BEI Kep-00040/BEI/04-2021 tanggal 30 April 2021 perihal Pelaksanaan Kewajiban Penyampaian Informasi Notasi Khusus pada Kode Perusahaan Tercatat oleh Anggota Bursa Efek kepada Nasabah. Sesuai dengan peraturan BEI no. II-A pasal II.8, kami sampaikan bahwa Notasi Khusus ditampilkan oleh BEI setiap hari dan dapat diakses di website IDX.

    Anda dapat menemukan Saham dalam Pemantauan Khusus di Daftar Saham dengan Notasi Khusus. Perusahaan tercatat yang memenuhi kriteria Saham dalam Pemantauan Khusus akan diberi Notasi Khusus ”X”.

    https://www.idx.co.id/id/perusahaan-tercatat/notasi-khusus

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