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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. 責任投資アプローチをカバーする投資ポリシーを策定しているかどうかを明示してください。

01.6. 責任投資アプローチをカバーする組織の投資ポリシーの重要な構成要素、バリエーション、例外事項を簡潔に説明してください。 [任意]

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. 組織として、投資プロセスにおける潜在的な利益相反を管理するポリシーを策定しているかどうかについて明示して下さい。

03.2. 投資プロセスにおける潜在的な利益相反を管理するポリシーについて説明してください。

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. 補足情報。 [任意]


SG 04. Identifying incidents occurring within portfolios (Private)


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