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GAM Holding AG

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]


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.

URL/Attachment

URL/Attachment

02.4. Additional information [Optional].

GAM's heritage as an independent, pure play asset manager is built on a foundation of high conviction investing. Although GAM has a common distribution platform, we actively foster a broad range of independent investment teams who are accorded an extraordinary degree of latitude in their investment philosophies and processes. We do not, for example, hold a 'house' view – each team has the freedom to invest as they wish.


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.

Potential conflicts of interest may arise from time to time in connection with mandates managed by GAM. In accordance with applicable rules, GAM seeks to manage such conflicts of interest fairly. As a fiduciary, GAM allocates investment opportunities among clients in a fair and equitable manner. In allocating securities among clients, it is GAM’s policy that all clients should be treated fairly and that, to the extent possible, all clients receive equivalent treatment.

GAM has group-wide (and locally implemented) procedures relating to inside information, including, without limitation, prohibitions around its use, restrictions around its maintenance and general reporting obligations. GAM monitors trading in affected securities across GAM portfolios and personal account dealing during the period within which information continues to retain the status of inside information.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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