Community Corner

UBS CEFS Awarded ISO 27001 Certification for Information Security Management Systems

29 September 2009
Source: UBS AG

Weehawken, NJ--September 29, 2009 − UBS Wealth Management U.S. is pleased to announce that its Corporate Employee Financial Services (CEFS) business has been awarded the prestigious ISO 27001 Certification for its equity compensation administration business. The first among providers in the equity compensation industry to attain this achievement for that business, CEFS adds the ISO 27001 to its current SAS 70 Type II certification demonstrating its commitment to protection and security of client information.

ISO (International Organization for Standardization) develops and publishes standards that
establish best practices across a variety of industries. Globally recognized, the ISO 27001 is the only auditable international industry standard that defines the requirements for an Information Security Management System (ISMS). The ISO 27001 certification serves as evidence of CEFS’ commitment to manage, monitor, and maintain ongoing processes within a secure framework. "Having an ISO 27001 gives our clients the confidence that their equity compensation plan information is safeguarded and securely managed," said Douglas Woodham, Managing Director, and Head of CEFS. “We have always held our operations, processes and teams to high standards; this certification takes us to the next level. Companies no longer have to ask the information privacy and security questions. We have proactively established the answers in a language understood by the IT professional and the client.”

To earn the certification, CEFS undertook a rigorous process to evidence establishment of its ISMS to meet the ISO standards. The code of practice standard, ISO 27002, provides guidance for planning and implementing a program to protect information assets. CEFS complies with 133 controls comprising 10 categories: security policy, organization of information security, asset management, human resources security, physical and environmental security, communications and operations management, access control, information systems acquisition, development and maintenance, information security incident management, business continuity management, and compliance. After undergoing an extensive process to prepare to meet the stringent code of practice controls specific to the ISO standards, CEFS earned the distinguished certification.

As further commitment to client service and information security, CEFS plans to maintain its ISO 27001 by conducting the required annual review and re-certifying every 3 years. This conduct will help clients rest assured that CEFS has processes that are continually reviewed and improved in order to keep information secure.

For more information contact CEFS, call 866-706-2727, toll-free, from 9:00 a.m.-5:00 p.m. ET, or e-mail

About CEFS
The Corporate Employee Financial Services (CEFS) department of UBS Wealth Management US delivers first-class equity compensation plan services and support for stock options, restricted grant awards, performance grant awards, stock appreciation rights and employee stock purchase plans.

CEFS has more than a decade of experience delivering service to Fortune 1000 companies and their participants across the globe. With more than 230 employees and over 255 CEFS network Financial Advisors in 54 cities, CEFS services nearly 100 corporate clients and over 630,000 plan participants.

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