ab 2012 2012
2012 1.... 2 2.... 3 3.... 4 4.... 7 5.... 8 6.... 10 7.... 12 - - 1
2012 1. UBS AG 2012 50 63,000 1,259,232 BIS 21.3% 49% 2012 3 2013 1 20 2012 12 31 QDII 2
2012 2. 2012 UBS AG 150 2012 7 2012 2013 1 2012 7 23 6860 2486 2013 2012 10,000 2012 Andreas Neuber 3
2012 3. 2012 12 31 Andreas Neuber Andreas Neuber 2004 Mr. Neuber Andreas 2010 Mr. Neuber Mr. Neuber 2012 1 20 21 1992 / 15 2006 (a) (b) (c) 4
2012 5
2012 2012 11 2012 12 31 Nick Brook 6
2012 4. 2012 7 23 68,597 36,737 509 31,603 24,864 2,709,536-684,672 132,583 2012 7 23 2012 12 31 6860 2486 7
2012 5. 8
2012 9
2012 6. 2012 7 23 Andreas Neuber 10
2012 2013 1 16 Axel Weber Jacques de Watteville ( ) Jacques de Watteville Axel Weber Andreas Neuber 11
2012 7. 2012 2011 2012 10000 2012 9 28 2008 2008 12
2012 2012 11 17 3 150 13
附件 2012 12 31
1-2 3 4 5 6-7 8-41
(2013) 60469080_A01 2012 12 31 2012 7 232012 12 31 2013 4 19 2
( ) 2012 12 31 1 53,050,264 2 185,323,886 3 276,562,000 4 1,743,041,999 5 408,712,729 6 22,450,918 7 805,007 8 19,589,006 2,709,535,809 5 396,990,183 10 132,582,835 11 25,142,000 12 1,780,268 13 8,312,167 14 22,788,826 15 97,075,478 684,671,757 16 2,000,000,000 17 2,486,405 18 7,167,659 19 15,209,988 2,024,864,052 2,709,535,809 3 41 8 41 3
2012 7 23 2012 12 31 ( ) 2012 7 23 2012 12 31 20 119,071,509 20 ( 5,324,286) 20 113,747,223 21 188,104 21 ( 1,763,156) 21 ( 1,575,052) 22 37,121,083 23 ( 63,887,121) ( 16,809,055) 68,597,078 ( 2,840,831) 24 ( 33,895,684) ( 508,845) ( 37,245,360) 31,351,718 25 250,967 31,602,685 26 ( 6,738,633) 24,864,052-24,864,052 8 41 4
2012 7 23 2012 12 31 ( ) 2012 7 23 2,000,000,000 - - - 2,000,000,000 - - - 24,864,052 24,864,052 - - - - - - - - 24,864,052 24,864,052-2,486,405 - ( 2,486,405) - - - 7,167,659 ( 7,167,659) - 2,000,000,000 2,486,405 7,167,659 15,209,988 2,024,864,052 8 41 5
2012 7 23 2012 12 31 ( ) 2012 7 23 2012 12 31 2,958,842 91,241,294 4,538,134 22,518,658 1,454,278 8,832,351 131,543,557 ( 1,754,418) ( 5,901,877) (1,768,042,105) ( 20,511,085) ( 4,140,598) ( 19,609,961) (1,819,960,044) (1,688,416,487) ( 39,673) ( 110,907) ( 150,580) ( 150,580) ( 219,545,000) ( 219,545,000) ( 219,545,000) ( 15,967,580) (1,924,079,647) 2,420,433,215 496,353,568 8 41 6
2012 7 23 2012 12 31 ( ) 2012 7 23 2012 12 31 1 24,864,052 24 124,856 508,845 24 1,137,792 23 63,887,121 ( 10,664,398) ( 12,476,379) (1,682,160,629) ( 73,637,747) (1,688,416,487) 2 27 32,539 18,803 27 496,321,029 2,420,414,412 (1,924,079,647) 8 41 7
( ) ()( ) 2012 3 16( ) [2012]129 2012 3 26003863712012 5 2 110000450204654 20 KPMG-B(2012)CR NO.0069 2012 7 232012 7 23 2012 12 31 2006 2 38 2012 12 31 2012 7 232012 12 31 8
( ) 1. 1 1 12 31 2012 7 23 2012 12 31 2. 3. 4. 5. 6. 9
( ) 7. (i) (ii) (iii) (i) (ii) (iii) (iv) 10
( ) 7. 8. () ( ) 11
( ) 8. 9. 10. ( ) (i) (ii) (a) (b) 12
( ) 10. 11. 12. (i) 13
( ) 12. (ii) 13. 13 3-10 10%-33% 13 11 130 130 14
( ) 14. 15. 16. 15
( ) 16. 17 18. 19. 16
( ) 20. 21. (i) (ii) (iii) 22. 23. (i) 17
( ) 23. (ii) 5% 25% 7% 3% 18
( ) 1. 2012 12 31 32,539 - (a) 17,018,979 - (a) 2,070,153 33,928,593 53,050,264 (a) 2. 2012 12 31 18% 5% 2012 12 31 84,520,554 101,309,882 185,830,436 9 ( 506,550 ) 185,323,886 3. 2012 12 31 276,562,000 19
( ) 4. 2012 12 31 764,611,206 978,430,793 1,743,041,999 5. 37,406,191,773 200,621,940 (192,682,863 ) 2,189,108,513 20,503,630 ( 6,636,308 ) 307 - - 4,284,237 10,327 ( 10,327 ) 39,599,584,830 221,135,897 (199,329,498 ) 56,747,000,000 187,576,832 (197,660,685 ) 96,346,584,830 408,712,729 (396,990,183 ) 20
( ) 6. 2012 12 31 33,951 22,416,972 22,450,923 7. 9 ( 5 ) 22,450,918 2012 7 23 9,866,314 9,866,314 39,673 39,673 9,905,987 9,905,987 2012 7 23 (8,976,124) (8,976,124) ( 124,856) ( 124,856) (9,100,980) (9,100,980) 805,007 805,007 2012 12 31 2012 12 31 8,743,123 21
( ) 8. 2012 12 31 8.1 3,223,744 8.2 15,451,476 8.3 916,076 19,591,296 9 ( 2,290 ) 19,589,006 8.1 8.2 (1) 1 12,675,511 82% ( 2,290) 12,673,221 1-2 674,775 4% - 674,775 2-3 - 0% - - 3 2,101,190 14% - 2,101,190 15,451,476 100% ( 2,290) 15,449,186 (2) 2012 12 31 1,667,184 2,786,644 4 653,970 9,960,108 383,570 15,451,476 22
( ) 8. 8.3 (1) 1 916,076 100% - 916,076 (2) 2012 12 31 9. 834,287 70,138 11,651 916,076 2012 7 23 2012 12 31-506,550-506,550-5 - 5-2,290-2,290-508,845-508,845 23
( ) 10. 2012 12 31 21,842,417 11,222,875 33,065,292 4,459,675 95,057,868 99,517,543 132,582,835 11. 2012 12 31 4 25,142,000 12. 2012 12 31 1,777,810 4 2,458 1,780,268 13. 2012 7 23 2012 12 31 5,639,948 20,885,651 (18,213,432) 8,312,167-1,464,111 ( 1,464,111) - 5,639,948 22,349,762 (19,677,543) 8,312,167 24
( ) 14. 2012 12 31 19,215,012 2,839,920 733,894 22,788,826 15. 2012 12 31 4 89,723,265-1,892,102-1,379,100 4,081,011 97,075,478 16. 2012 12 31 % 2,000,000,000 100% 2012 7 31 17. 2013 4 19 10% 2,486,405 50% 25
( ) 18. ( 2012[20] ) 1.5% 7,167,659 19. 2012 7 23 12 31-24,864,052 ( 2,486,405 ) ( 7,167,659 ) 15,209,988 20. 2012 7 23 12 31 4 101,597,375 16,466,060 591,900 416,174 119,071,509 4 ( 448,292) ( 1,399,779) ( 3,476,215) ( 5,324,286) 113,747,223 26
( ) 21. 2012 7 23 12 31 4 188,104 22. : (1,763,156 ) (1,575,052 ) 2012 7 23 12 31 49,998,997 (12,877,914 ) 37,121,083 23. 2012 7 23 12 31 ( 6,819,566 ) (57,067,555 ) (63,887,121 ) 27
( ) 24. 2012 7 23 12 31 22,349,762 20,885,651 1,464,111 10,283,274 1,137,792 124,856 33,895,684 25. 2012 7 23 12 31 250,967 26. 2012 7 23 12 31 19,215,012 (12,476,379 ) 6,738,633 2012 7 23 12 31 31,602,685 7,900,671 ( 1,403,941) 1,794,661 ( 1,552,758) 6,738,633 28
( ) 27. 2012 12 31 32,539 33,928,593 185,830,436 276,562,000 496,321,029 496,353,568 29
( ) 2012 7 23 12 31 14,263,550 99,483,673 113,747,223-188,104 188,104 ( 1,397,023) ( 366,133) ( 1,763,156) ( 1,397,023) ( 178,029) ( 1,575,052) ( 25,434,063) ( 17,890,063) ( 43,324,126) ( 301,185) ( 33,594,499) ( 33,895,684) - ( 1,262,648) ( 1,262,648) - ( 508,845) ( 508,845) - ( 2,840,831) ( 2,840,831) /() ( 12,868,721) 44,471,406 31,602,685 - ( 6,738,633) ( 6,738,633) /() ( 12,868,721) 37,732,773 24,864,052 2,003,983,375 705,552,434 2,709,535,809 323,140,610 361,531,147 684,671,757-150,580 150,580 30
( ) 1. (1) (2) (3) (4) 2. 384 100% 3. 31
( ) 4. (1) 2012 7 23 12 31 56,572,571 56,452 188,104 ( 49,437) (56,736,297) (2) 2012 12 31 100,394,108 651,680 119,996 ( 25,142,000) ( 89,723,265) ( 51,256) (3) 15,781,533 2,144,183 (4) 61,660,755 32
( ) 5. (1) 2012 7 23 12 31 ( 3,149 ) (32,648 ) (2) 2012 12 31 2012 12 31 (17,211,892 ) ( 2,218 ) 6. 2012 7 23 12 31 7,151,161 1. 2012 12 31 2012 12 31 1 1 8,172,888 1-2 2 4,522,125 12,695,013 33
( ) 2. 2012 12 31 61,660,755 3. 2012 12 31 2 2007 11 2012 12 31 2,024,864-2,024,864 1,295,705 156% 156% 12.5 34
( ) 1. 1.1 1.2 2012 12 31 53,017,725 185,323,886 276,562,000 1,743,041,999 408,712,729 22,450,918 16,365,262 61,660,755 2,767,135,274 35
( ) 1. 1.3 1.4 36
( ) 2. 25% 2012 12 31 2012 12 31 1 1 3 3 1 1 5 5 1 33,961,132 - - - - - 19,089,132 53,050,264 183,668,027 1,657,640 - - - - - 185,325,667-276,616,159 - - - - - 276,616,159 3 1,743,041,999 - - - - - - 1,743,041,999 3 408,712,729 - - - - - - 408,712,729-1,175,212 390,254 12,171,052 2,628,744 - - 16,365,262 2,369,383,887 279,449,011 390,254 12,171,052 2,628,744-19,089,132 2,683,112,080 37
( ) 2. 2012 12 31 2012 12 31 1 1 3 3 1 1 5 5 2 3 396,990,183 - - - - - - 396,990,183 33,065,292 5,002,697 7,019,940 76,356,088 14,924,902 - - 136,368,919-25,149,867 - - - - - 25,149,867 - - 4,803,082 90,380,294 1,892,102 - - 97,075,478 430,055,475 30,152,564 11,823,022 166,736,382 16,817,004 - - 655,584,447 1,939,328,412 249,296,447 (11,432,768) (154,565,330) (14,188,260) - 19,089,132 2,027,527,633 1 2 3 / 38
( ) 3. VAR(Value at risk)var 95% VAR VAR 1 95% 5% 2012 7 23 12 31 12 31 4.23 3.40 5.38 0.64 39
( ) 4. () 2012 12 31 40
( ) 4. 2012 12 31 1,743,041,999 1,743,041,999 221,135,897 221,135,897-187,576,832-187,576,832-2,151,754,728-2,151,754,728 199,329,498 199,329,498-197,660,685-197,660,685-396,990,183-396,990,183 2013 4 19 41
附件 其它辅助信息 - 杠杆率 人民币千元 2012 年 12 月 31 日 一级资本 2,024,864 减 : 一级资本扣减项 - 调整后的一级资本 2,024,864 调整后的表内资产余额 2,300,823 调整后的表外项目余额 989,335 调整后的表内外资产余额 3,290,158 杠杆率 61.54%
7 12 : 100033