3. 2
Your Philanthropy – Is our Concern
?
Do I need a
foundation?
How much
money should I
allocate?
How do I ensure my
donations reach
beneficiaries?
Should I hire
professional staff?
How do I make sure
I have sustainable
impact?
How can I make
it really MY
philanthropy?
How do I manage and
mitigate the risks?
Should I partner
with others?
Where do I
start?
How can I ensure my
donations are used
cost effectively?
What are my legal
responsibilities
4. 3
Your Philanthropy – Our Solutions
UBS UK DAF
Cost free vehicle
for your giving
Optimus Foundation
Cost free implementation of
your philanthropy*
* Assuming client aspirations align with UBS' global philanthropy expertise.
Your Free
Philanthropy
Health Check and
Advice
Making Philanthropy easier, Maximising impact
UBS does not give tax advice. Before making a decision it is recommended to seek the advice of an independent tax or legal consultant.
6. 5
UBS UK Donor Advised Foundation (DAF) – Saving clients Time and Cost
Donation into DAF
from existing foundation,
CAF account or UBS account
Gift Aid from HMRC
Your UBS DAF Account
All of the benefits of your own Foundation with
governance and all administration undertaken by UBS
Optimus Foundation
One Off Contribution
Optimus Foundation
Strategic Partnership
Donations to other UK
charities, including
your own charitable
foundation,
at any time
UBS does not give tax advice. Before making a decision it is recommended to seek the advice of an independent tax or legal consultant.
• UBS takes on all of the administrative and
governance work on behalf of clients including
claiming gift aid on your behalf
• It can be set up within two weeks
• There are no set up fees, transfer fees or
ongoing administrative costs
• UBS Client Advisor will remain your single point
of contact
• DAF can donate to any UK registered charity
from your DAF account, including the Optimus
Foundation and your own Charitable trust
• You can appoint a second grant recommender
for our DAF Account, such as a spouse or a child
• No minimum account size
• The management of the assets held in a DAF
account are charged at the same rate as on the
rest of a client's assets
• The DAF is Optimised to received donations from
clients with offshore assets through its Jersey
account
The benefits of your own foundation without the associated costs
8. 7
Your Philanthropy – Our Expertise
Global expertise through Optimus to help clients give effectively and efficiently
Advisory and
Implementation
Expertise
Professionalism
Leverage
Vehicles for
Giving
Philanthropy advisory and strategy development
Funding of projects directly on behalf of clients
through the UBS Optimus Foundation
Program experts with 16 years’ experience
Track record health, education and child protection.
Transparent project, financial and risk management
Rigorous criteria on innovation, impact, sustainability
and scalability.
Matched funding opportunities
Access to philanthropy insights, knowledge,
networks.
.
UBS Donor Advised Foundation provides cost free
structure for all of your philanthropic giving.
No administrative fees
100% of your donations go
directly to projects
9. 8
Your Philanthropy – Our Track Record
The Optimus Foundation helps clients give to innovative, high impact projects in the UK and across
the globe
Social Impact
Innovation
Evidence
Sustainability and scalability
Working with communities
Local Expertise
Strengthening capacity
1. To see a current list of philanthropy opportunities and global projects refer to the Appendix
Donate to projects where help is most needed
• From £50,000 support a specific project
• From £100,000 extend and/or adapt a proven project in a new location
• For donation of £750,000+ we could source and manage an exclusive new tailor-made project
11. 10
Your Philanthropy – Leveraging your Giving
The Optimus Foundation has created a leveraged giving opportunity for three high impact projects
£13,750 net donation from clients leverages £100,000,
or £137,500 net donation from clients leverages £1,000,000
UBS does not give tax advice. Before making a decision it is recommended to seek the advice of an independent tax or legal consultant.
13. 12
To Summarise – Benefits to clients
We can provide support wherever a client is on their Philanthropic journey
Efficiency
• Cost-free, tax effective giving structure
• 100% of donations through Optimus to
projects
• Additional matching and leverage
opportunities
Expertise
• Global team of philanthropy experts
Effectiveness
• Project sourcing designed to identify and
support programmes with the highest
possible social returns
• Professional project due diligence,
management, monitoring and evaluation
Exclusivity
• Only available to clients of UBS
UBS does not give tax advice. Before making a decision it is recommended to seek the advice of an independent tax or legal consultant.
14. 13
Tom Hall, Director, Head of Philanthropy Services UK
With over 12 years' experience working with and advising
private clients, Tom leads our UK Philanthropy services to
help clients identify and achieve their philanthropic and
impact investing strategies. Prior to joining UBS in 2013,
Tom spent his career in the non-profit sector working with
wealthy individuals and companies to deliver award
winning, sustainable philanthropic and social investment
solutions. As Director of Philanthropy and Social
Investment at the disability charity Scope, he pioneered
the use of social investment structures, including the
Scope Bond which was the first listed bond issued by an
operational charity in the UK. Tom also worked with the
cabinet office on the development of the new Social
Investment Tax Relief.
Earlier in his career, Tom was the first UK employee of the
Microloan Foundation securing the investment for the
charity to expand into sustainable microfinance business
reaching over 20,000 clients a year in Malawi and Zambia.
Tom is a Politics graduate from Exeter University and has
professional qualifications in marketing (CIM), fundraising
management and financial planning.
UBS UK Philanthropy Services Team
Professor Paul Palmer, Independent Consultant on
Charities
Paul is an independent consultant on charities to UBS
Wealth Management, and is a Professor of Voluntary
Sector Management and Associate Dean for Ethics,
Sustainability and Engagement at Cass Business School.
Paul has extensive knowledge of charity financial,
management and governance issues. He was a member
of the Charity Commission SORP committee from 2000-
2005. His work has extended into the field of Corporate
Social Responsibility and he serves on the ethics panel of
the Securities Investment Institute and the Corporate
Responsibility Advisory Group of the ICAEW. Paul is one
of the leading academics in the UK within the sector.
Anthony Donatelli, Director, Business Manager,
Philanthropy Services UK
Anthony Donatelli joined the UK Philanthropy Services
team in April 2015 after spending two years working in
Group Strategic Change Management and Group COO Risk
Management in the UBS London office.
Prior to relocating to London, Anthony was based in the
Sydney office for three years responsible for business
continuity in Australia, New Zealand, Thailand, and
Indonesia. He joined UBS in the Americas headquarters in
Stamford, CT within the Office of the COO in 2008,
performing project management and business continuity
roles.
He has dual Bachelor of Arts degrees from Boston College
in History and Education and is currently studying for his
MBA through Duke University's Fuqua School of Business.
Vanessa Smye, Director, Client Development,
Philanthropy Services UK
Vanessa has extensive experience working with private
clients, initially as a stockbroker and financial adviser for
Edward Jones and HSBC before specialising in
Philanthropy. She spent over four years as Philanthropy &
Corporate Partnerships Manager at the disability charity
Scope. Whilst there she played an integral role in securing
investment into, and awareness of, Scope's social
investment Bond within the private client and wealth
adviser networks.
Vanessa has a Masters from the Royal College of Music and
in 2010 obtained a Diploma in Financial Planning from the
Chartered Insurance Institute.
15. 14
Global Grant-making Team
Phyllis Costanza was appointed CEO of the UBS Optimus Foundation in June 2011. Prior to this, she was Director of Leverage at the
Children's Investment Fund Foundation (CIFF), a UK-based non-profit philanthropic organization focused on improving the lives of
children living in poverty in developing countries. She also served as a CIFF board member for eight years.
Prior to CIFF, Ms Costanza worked for 10 years as a management consultant advising clients in both health care and non-profit arenas.
She also worked in the public sector as the Manhattan Representative for New York State Governor Mario Cuomo, advising on policy
and politics in Manhattan.
Ms Costanza received a Masters in Public Policy from Harvard University's John F. Kennedy School of Government and a Bachelor of
Philosophy degree from Miami University (Ohio
Maya Ziswiler joined the foundation in 2012 from the Global Fund to Fight AIDS, Tuberculosis and Malaria where she was responsible
for managing public-private partnerships such as (RED) or the MAC AIDS Fund to provide treatment, care and support for HIV/AIDS and
malaria programs in Africa and the Caribbean. Previously, Maya worked for UNICEF in Peru, building partnerships to support early
childhood development programs there. She also brings valuable project management experience from Procter & Gamble in the Middle
East and non-profit consulting experience from China. Maya holds degrees in International Development from McGill University in
Canada, and an MBA from the University of Geneva. She speaks English, French, Spanish, German and some Mandarin.
Ann-Marie Sevcsik brings nearly 20 years of experience in biomedical research, with the past 10 years' focused on R&D and access to
health tools for vulnerable populations worldwide. Prior to joining the foundation, she worked at the Drugs for Neglected Diseases
initiative (DNDi) which develops and makes available new treatments for neglected diseases. Educated at Harvard and the University of
California, San Francisco, Ann-Marie has worked with a wide range of organizations – including the World Health Organization,
multinational pharmaceuticals, biotechnology companies, and patient advocacy organizations – and on projects in more than 15
countries including Argentina, Brazil, DR Congo, Egypt, India, Japan, Kenya, Malaysia and Spain.
Patricia Lannen received her PhD in Psychology in 2008. From 2005 to 2008, she worked for Harvard Medical School's Dana Farber
Cancer Institute in Boston, USA, with children and adults focusing on psychosocial oncology. She has extensive experience
coordinating large, multi-site projects for vulnerable populations, including epidemiological research and prevention programs. Since
2008, Patricia has coordinated the Foundation's global Optimus Study on child sexual victimization. This project gathers much-needed
data on the scope and magnitude of child sexual abuse in countries of Asia, Europe, Africa, and Latin America. The collected data is
meant to enable effective prevention and intervention measures. Patricia is Vice President of the Swiss Fund for Child Protection.
16. 15
Appendix 1 – Optimus Foundation Top Projects (1)
Organisation Name Project Title Portfolio Country
Ilifa Labantwana (Based at the DG Murray Trust) Ilifa Labantwana - scaling up early childhood ECD+ South Africa
Centre Suisse de Recherches Scientifiques en Côte
d'Ivoire
Integrated approach to fight parasitic worms and diarrhea Health Cote d'Ivoire
Johns Hopkins Bloomberg School of Public Health mCare: mobile phones for newborn survival Health Bangladesh
Newcastle University Micro-franchise: school-in-a-box Education
India, Sierra Leone ,
Ghana, Liberia
Omega Schools Foundation Opportunity knocks: Omega High School Education Ghana
International Rescue Committee UK Parents make the difference ECD+ Liberia
Last Mile Health/Tiyatien Health Going the last mile to save lives in rural villages Health Liberia
STIR Education (Schools and Teachers Innovating for
Results)
Teachers and parents innovate to solve India’s learning crisis Education India
Newcastle University An innovative chain of low-cost private schools for India Education India
Roots of Empathy Roots of Empathy Child Protection Switzerland
Foundation to Educate Girls Globally Educate Girls Development Impact Bond Education India
Hope and Homes for Children
Children Count: Mapping the use of institutional care for children under the
age of three in South Africa
Child Protection South Africa
Omega Schools Foundation
An innovative model for a chain of low-cost private schools in post-conflict
sub-Saharan Africa
Education Liberia, Sierra Leone
We Care Solar The We Care Solar Suitcase - Going from Good to Great Health Philippines , Ethiopia
Optimus Study OF Study 2nd Cycle/ Advocacy Child Protection Worldwide
Optimus Study OF Study 2nd Cycle Projects: South Africa CJCP Child Protection South Africa
Optimus Study Strategies to Reduce Violence by 50% in the Next 30 Years Child Protection Worldwide
Institut zur Cooperation bei Entwicklungsprojekten Improving Rural School Education Education Brazil
Queensland Institute of Medical Research 'Magic Glasses' to fight parasitic worms Health China, Philippines
ARCHIVE Global Healthy homes: an architectural 'vaccination' Health Haiti, Cameroon
School of Public Health, Griffith University Taking toilets to scale: full-scale field test of BALatrine Health Indonesia
Public Health Foundation of India Safe Childbirth Checklist Health India
17. 16
Appendix 2 – Optimus Foundation Top Projects (2)
Organization Name Project Title Portfolio Country
Swiss Tropical and Public Health Institute Stimulating kids at home Health Peru
Universidad Peruana Cayetano Heredia; Swiss
Tropical and Public Health Institute
Integrating home and community measures to improve health Health Peru
Fundación Acción Contra el Hambre (ACF) Food for thought: fighting anemia ECD+ Peru
World Vision Perú Testing an innovative early childcare model ECD+ Peru
Berkeley School of Public Health Indigenous children: parents are the key ECD+ Mexico
Living Goods Happy meals: a micro-franchise for child nutrition Health Uganda, Kenya
ETH Zürich Making fermented milk safe for kids Health Kenya
Instituto ABCD More and better education for children in the Amazon Education Brazil
National Coalition Building Institute Schweiz, Peacemaker Plus Child Protection Switzerland
University Hospital Ulm E-learning: Early Prevention of Maltreatment Child Protection Germany
J-PAL South Asia at IFMR Every child counts: math games made fun ECD+ India
Warmayllu
Seeds growing in the sand: impact of the ECD Wiñaq Muhu programme on
children's development in Peru
ECD+ Peru
University of Oxford Essential components of parenting interventions Child Protection Worldwide
Pratham Education Foundation Learning Campls: Every child in school and learning well Education India
Terre des Hommes Netherlands, South Asia
Regional Office
Prevent: A Psychosocial Approach to Preventing Violence Against Children Child Protection Nepal
Child Protection Network Foundation, Inc. Safe Schools for Teens: Preventing Sexual Abuse for Poor Urban Teens Child Protection Philippines
BRAC USA, Inc Holistic Enhancement of Early Childhood Development in Rural Bangladesh ECD+ Bangladesh
HelpAge International Nepal (HAI-N)
Improving Early Childhood Health & Education through Active Ageing in
Nepal
ECD+ Nepal
Philippine Ambulatory Pediatric Association, Inc. Parenting for Lifelong Health - Philippines ECD+ Philippines
Concern Worldwide (UK) We are children too: Transforming the lives of street children in Bangladesh ECD+ Bangladesh
Promundo-US
MenCare Bangladesh: Engaging Fathers for Family Well-Being and Gender
Transformation
Child Protection Bangladesh
Taboobreaker Taboobreaker: Prevent child sexual abuse Child Protection Switzerland
International Centre for Diarrhoeal Disease
Research, Bangladesh
Saving children with severe pneumonia & malnutrition Health Bangladesh
Promundo-US
A Conceptual Framework and Global Plan for Action for Joint Efforts
to Prevent Violence Against Children (VAC) and Violence Against Women
(VAW)
Child Protection Global
CEI West Africa
Identifying and Scaling Promising, innovations in Education and Health in
West Africa
Education West Africa
18. 17
Disclaimer
This information is issued by UBS Wealth Management, a business division of UBS AG ("UBS") which is authorised and regulated by the Financial Market
Supervisory Authority in Switzerland. In the United Kingdom, UBS AG is authorised by the Prudential Regulation Authority and is subject to regulation by
the Financial Conduct Authority and limited regulation by the Prudential Regulation Authority. Details about the extent of our regulation by the
Prudential Regulation Authority are available from us on request.
This publication is for your information only and is not intended as an offer, or a solicitation of an offer, to buy or sell any investment or other specific
product. Although all information and opinions expressed in this document were obtained from sources believed to be reliable and in good faith, no
representation or warranty, express or implied, is made as to its accuracy or completeness. All information and opinions as well as any prices indicated are
subject to change without notice and the asset classes, the asset allocation and the investment instruments are only indicative.
In accordance with the Financial Conduct Authority requirements, we should point out that with regard to any investments mentioned, values may fall as
well as rise and that exchange rates may have a similar effect.
It should be noted that past performance is not an indication of future returns.
At any time UBS AG ("UBS") and other companies in the UBS group (or employees thereof) may have a long or short position, or deal as principal or agent,
in relevant securities or provide advisory or other services to the issuer of relevant securities or to a company connected with an issuer. Some investments
may not be readily realisable since the market in the securities is illiquid and therefore valuing the investment and identifying the risk to which you are
exposed may be difficult to quantify. Futures and options trading as well as alternative investments are considered risky. Some investments may be subject
to sudden and large falls in value and on realisation you may receive back less than you invested or may be required to pay more. Changes in FX rates may
have an adverse effect on the price, value or income of an investment. Furthermore, performance information may be based on simulations and/or be for
illustration only. We would recommend that you take financial and/or legal advice as to the implications of investing in any of the products mentioned
herein, including tax matters. UBS does not provide tax advice. This document may not be reproduced or copies circulated without prior authority of UBS.
This document is not intended for distribution into the US and / or to US persons or in jurisdictions where its distribution by us would be restricted.
Where services are provided from outside the UK, they will not be covered by the UK Regulatory Regime or Investor Compensation Scheme.
Alternative investment funds are unregulated collective investment schemes under the UK regulations. As such, they have their own specific risks. They may
only be proposed to private clients for which they are suitable.
UBS does not give tax advice. Before making a decision it is recommended to seek the advice of an independent tax or legal consultant.
Copyright 2014.
UBS AG
3 Finsbury Avenue
London
EC2M 2AN
Tel: +44-20-7567-5757
Fax: +44-20-7567-5656
www.ubs.com
