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Charles Stanley PLC

PRI reporting framework 2017

You are in Strategy and Governance » Investment policy

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.

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

In order to provide a bespoke client service, we have an autonomous business model that enables our investment managers to have complete independence over investment decisions, made in the best interests of clients. Consequently, the investment strategy and decisions ultimately lies with the investment managers and it is therefore inconsistent with our business model to have an overarching investment policy.


SG 02. Publicly available RI policy or guidance documents (Not Applicable)


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.

The Board has a policy and effective procedures for managing and, where appropriate, approving conflicts or potential conflicts of interest.

An example of one our policies is the removal of any direct link between the remuneration of persons principally engaged in one activity and the remuneration of, or revenues generated by, different persons principally engaged in another activity, where a conflict of interest may arise in relation to those activities.

Where there is a conflict that in our view cannot be readily resolved, the matter would be escalated to senior management for an independent decision on whether and how such shares should be voted.

 A Register of Conflicts is held by the Compliance department and a log of all conflicts raised is maintained and updated accordingly. Our policy summary regarding conflicts of interest is regularly reviewed and any changes are approved by the relevant Committee. It is set out in Our Services and Business Terms and available on our website.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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