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Charles Stanley PLC

PRI reporting framework 2017

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Basic Information

OO 01. Signatory category and services

01.1. Select the services you offer.

          Investment Management  - predominantly segregated accounts for retail/private clients
        

% of assets under management (AUM) in ranges

01.2. Additional information. [Optional]

Charles Stanley is a client-focused investment management firm offering a genuine personal service across the full range of investment management service including Investment Management, Financial Planning, Asset Management and Charles Stanley Direct, a direct-to-client investment platform.

The core pillar of Charles Stanley was, is and shall remain the provision of investment management services to  private clients. The Investment Management Services division, is the bedrock of the business and we pride ourselves on providing a bespoke service for our clients. In order to provide this truly tailored service that serves the best needs of our clients, we have an autonomous business model which enables our investment managers to have complete independence over investment decisions.

Alongside the investment management business is our Asset Management division. This division provides pooled solutions and model portfolios to a range of clients, from institutional investors with multi-million pound portfolios to valued retail clients with smaller portfolios. The division also houses Charles Stanley’s investment research capability, covering asset allocation, stock selection and collective vehicle selection. As such, the division both enhances our private client investment management business and provides an excellent growth opportunity.

When consideration is given to governance or ESG issues, it will be done as part of our centralised investment research process. However, due to our autonomous business model, the investment strategy and decisions ultimately lies with the investment managers.

Additionally, we are a whole of market private client firm offering a broad range of investment services to our clients, who may be invested across a wide range of investments, and in all asset classes open to retail investors.  As a consequence, at any one time our clients in aggregate may be invested in thousands of different securities. This necessarily reduces the typical aggregate holding size, and thus the scope for direct engagement with the governance of investee companies, and instead favours an approach based on the identification of quality investment opportunities for our clients, and the disposal of investment holdings where there is dissatisfaction with an investment's prospects for growth.

Any information provided in this report regarding our funds-under-management or voting practices is in relaiton to only discretionary and advisory-managed funds. Advisory dealing and execution-only funds have been excluded as the investment decisions will be driven by the client.

 

 

 


OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

United Kingdom

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

832 FTE

02.4. Additional information. [Optional]


OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

03.3. Additional information. [Optional]


OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/03/2016

04.2. Indicate your total AUM at the end of your reporting year, excluding subsidiaries you have chosen not to report on.

Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.4. Additional information. [Optional]

Total Assets under Management in section OO 04.1 includes only Discretionary and Advisory Managed funds.  Execution-only and Advisory Dealing funds accounted for £8.5bn of total Assets under Management at the year-end date of our last reporting year.


OO 06. How would you like to disclose your asset class mix

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

06.1. How you would like to disclose your asset class mix.

Internally managed (%)
Externally managed (%)

 

Listed equity >50% 73.2 0 0
Fixed income 10-50% 11.8 0 0
Private equity <10% 4.5 0 0
Property <10% 4.2 <10% 2.8
Infrastructure <10% 1.6 0 0
Commodities <10% 0.1 0 0
Hedge funds <10% 2.6 0 0
Forestry <10% 0.1 0 0
Farmland 0 0 0 0
Inclusive finance 0 0 0 0
Cash <10% 0.06 0 0
Other (1), specify 0 0 0 0
Other (2), specify 0 0 0 0

06.2. Publish our asset class mix as per attached image [Optional].

06.3. Provide contextual information on your AUM asset class split. [Optional]

Listed Equities includes listed and non-listed equities as we do not break down total Equity holdings by Listed/non-Listed.

We do not recognise "Farmland" as an asset type but may be exposed to the asset class via equity, funds and/or fixed income investments


OO 07. Fixed income AUM breakdown (Private)


OO 08. Segregated mandates or pooled funds (Private)


OO 09. Breakdown of AUM by market (Private)


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