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Itaú Asset Management

PRI reporting framework 2017

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Investment policy

SG 01. RI policy and coverage

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate if you have an investment policy that covers your responsible investment approach.

01.2. Indicate the components/types and coverage of your policy.

Select all that apply

Policy components/types

Coverage by AUM

01.4. Indicate what norms you have used to develop your investment policy that covers your responsible investment approach.

01.6. Provide a brief description of the key elements, any variations or exceptions to your investment policy that covers your responsible investment approach. [Optional]

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SG 02. Publicly available RI policy or guidance documents

New selection options have been added to this indicator. Please review your prefilled responses carefully.

02.1. Indicate which of your investment policy documents (if any) are publicly available. Provide a URL and an attachment of the document.

02.4. Additional information [Optional].

Asset Class specific Listed Equities available at: http://www.itauassetmanagement.com.br/_arquivosestaticos/Asset/pdf/WhitePapers/White_Paper_ESG_Port.pdf

Asset Class specific Fixed Income Corporate and Private Debt available at http://www.itauassetmanagement.com.br/_arquivosestaticos/Asset/pdf/WhitePapers/RF.pdf


SG 03. Conflicts of interest

03.1. Indicate if your organisation has a policy on managing potential conflicts of interest in the investment process.

03.2. Describe your policy on managing potential conflicts of interest in the investment process.

Itaú Unibanco has clearly defined conflict of interest policies and procedures, which have been designed to identify and properly disclose, mitigate, and/or eliminate applicable conflicts of interest. However, written policies and procedures cannot address every potential conflict, so employees must use proper judgment in identifying and responding appropriately to actual or potential conflicts.

Conflicts of interest that involve Itaú on one hand and clients on the other hand, will generally be fully disclosed and/or resolved in a way that favours the interests of the clients. In some instances conflict of interests may arise between two or more clients. Responding appropriately to these types of conflicts can be challenging, and may require robust disclosures if there is any appearance that one or more clients have been unfairly disadvantaged. Employees must notify the relevant compliance officer promptly if it appears that any actual or potential conflict of interest exists and has not been appropriately addressed. The compliance officer will document the firm’s assessment of, and response to, such conflicts.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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