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GLG Partners LP

PRI reporting framework 2017

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Engagement

Overview

LEA 01. Description of approach to engagement

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

01.1. 貴社に正式なエンゲージメントポリシーがあるかどうか示してください

01.2. エンゲージメントポリシーがカバーしている内容を示してください。

01.3. エンゲージメントポリシーのURLを記載してください。[任意]

01.4. エンゲージメントに対する貴社のアプローチの概要を説明してください。

Man Group--applicable to its subgroups including GLG Partners--maintains a Conflicts of Interest Policy that sets out circumstances which constitute or may give rise to a conflict of interest and the procedures to be followed and measures to be adopted in order to manage such conflicts.

The Policy aims to ensure that Man pays due regard to the interests of each client and manages any potential conflicts of interest fairly and effectively. This will specifically apply when Man has, or may have, a conflict of interest between:

 - itself and the duty owed to its client;

 - firms connected to Man and the duty owed to Man’s client; and

 - one client and another client.

Reasonable steps are taken to identify conflicts of interest that arise in the course of Man providing any service and may result in a material risk of damage to a client. It is the responsibility of all personnel to report any actual, apparent or potential conflicts of interest which they have identified to their manager and Compliance.

Man regularly reviews and where appropriate updates the Conflicts of Interest Register and Policy.

01.5. 補足情報 [任意]

Where Man has identified an instance where there may be a potential conflict between the interests of Man and the interests of the client or where a conflict may exist between one client and another, the potential conflict is managed by one of the following means:

 - termination/avoidance;

 - management; or

 - disclosure.

Man maintains a global Conflicts of Interest Register to enable it to manage and monitor conflicts of interest that arise in the ordinary course of its business.

As deemed appropriate, Compliance will document in the Conflicts of Interest Register any reported actual, apparent or potential conflicts of interest and liaise with relevant individuals to determine the appropriate action to manage such conflicts of interest. Once the appropriate method of managing the conflict of interest is determined, each business line is then responsible for ensuring that the conflict of interest is managed in accordance with that method.


LEA 02. Reasoning for interaction on ESG issues

02.1. エンゲージメントの方法および対話を行う理由を明示して下さい。

エンゲージメントの種類

対話を行う理由​
単独/貴社内のスタッフのエンゲージメント

協働的なエンゲージメント

サービスプロバイダーのエンゲージメント

02.2. 補足情報。[任意]


Process

Process for engagements run internally

LEA 03. Process for identifying and prioritising engagement activities

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

03.1. 貴社内のスタッフが実行するエンゲージメント活動を特定し、優先順位を決定する正式なプロセスが貴社にあるかどうか示してください。

03.3. 補足情報。 [任意]

A number of GLG Partners investment teams maintain formal engagement activity reports. However, because of the distributed nature of fund management at the firm, GLG does not yet maintain a formal, centralized process for identifying and prioritising engagement activities. The Firm is working towards creating a reporting function for 2017.


LEA 04. Objectives for engagement activities

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

04.1. 貴社内のスタッフが実行する貴社のエンゲージメント活動に具体的な目的を定義しているかどうかを記載してください。

04.2. 貴社内のスタッフが実行する貴社のエンゲージメントを受けた企業の行動を監視しているかどうかを記載してください。

04.3. 貴社内のスタッフが実行するエンゲージメント活動のためにマイルストーンと目標を貴社で定義しているかどうか示してください。

04.5. 補足情報。[任意]

Objectives for engagement activities are organized and set by individual investment teams with monitoring occuring throughout the process. These engagements tend to be issue-specific and results-oriented. We currently do maintain a formal schedule for milestones.


Process for engagements conducted via collaborations

LEA 05. Process for identifying and prioritising collaborative engagement

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

05.1. 協働的なエンゲージメントを特定し、優先順位を決定する正式なプロセスが貴社にあるかどうか示してください。

05.3. 補足情報 [任意]

Many investments teams maintain a formal process for idnetifying and prioritising collaborative engagements, but the Firm does not impose any specific process. This is intentional so as to cultivate a breadth of different investments across the firm and not privilege any one specific engagement modality.


LEA 06. Objectives for engagement activities

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

06.1. 貴社が関与する協働的なエンゲージメントに目的が定義されているかどうか示してください。

06.2. 貴社の協働的なエンゲージメントを受けた企業の行動を監視しているかどうか示してください。

06.3. 協働エンゲージメント活動に関連したマイルストーンと目標を貴社で定義しているかどうか示してください。

06.5. 補足情報 [任意]

Objectives for collaborative engagement activities are organized and set by individual investment teams with monitoring occuring throughout the process. These engagements tend to be issue-specific and results-oriented. We currently do maintain a formal schedule for milestones.


Process for engagements conducted with/on your behalf by service providers

LEA 07. Role in engagement process

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

07.1. サービスプロバイダーがあなたの貴社のために実施するエンゲージメントにおいて、貴社がどのような役割を担っているのか明示してください。

07.2. サービスプロバイダーがあなたの貴社のために実施するエンゲージメントにおいて、貴社がどのような役割を担っているのか明示してください。

07.3. 補足情報。 [任意]

This question is most applicable on governance issues via our service provider who simultaneously conducts proxy voting and provides ESG research and ESG screening.


LEA 08. Monitor / discuss service provider information

08.1. サービスプロバイダーが貴社に提供する以下の情報を監視、協議しているかどうかを記載してください。

Please select all that apply

08.2. 補足情報。


General processes for all three groups of engagers

LEA 09. Share insights from engagements with internal/external managers

09.1. エンゲージメントから得た考察を、貴社内の運用担当者や貴社外の運用会社と共有しているかどうかを記載してください。

エンゲージメントの種類

共有する考察
単独/貴社内のスタッフのエンゲージメント

協働的なエンゲージメント

サービスプロバイダーのエンゲージメント

09.2. 補足情報。[任意]

Because engagements are generally managed by individual investment teams, they are rarely systematically shared across the firm.


LEA 10. Tracking number of engagements

10.1. 貴社がエンゲージメントしている企業の数を追跡しているかどうかを記載してください。

エンゲージメントの種類
エンゲージメントの追跡
単独/貴社内のスタッフのエンゲージメント

協働的なエンゲージメント

サービスプロバイダーのエンゲージメント

10.2. 補足情報。[任意]

A number of investment teams track their engagements among individual/collaborative/service provider, but the Firm does not currently centralize reporting of these engagements as a whole.


Outputs and outcomes

LEA 11. Number of companies engaged with, intensity of engagement and effort (Private)


LEA 12. Engagement methods (Not Completed)


LEA 13. Engagements on E, S and/or G issues (Not Completed)


LEA 14. Companies changing practices / behaviour following engagement (Not Completed)


LEA 15. Examples of ESG engagements (Not Completed)


Communication

LEA 16. Disclosure of approach to ESG engagements

16.1. 貴社がエンゲージメントに関する情報を積極的に開示しているかどうかを記載してください。

16.5. 貴社が顧客/受益者に積極的に開示しているエンゲージメントに関する情報の種類を記載してください。

開示しているエンゲージメントに関する情報

16.6. 通常、エンゲージメントの情報を顧客/受益者に報告する頻度について記載してください。

16.8. 補足情報。[任意]

The firm as a whole does not make it a practice to disclose engagements to its clients. However, a number of GLG's investment teams do selectively disclose their engagement activities to their clients/beneficiaries. At this moment, it is the fund manager's responsibility to determine if they will or will not disclose their positions. The Firm does not currently disclose a master list of engagement activities and their status.


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