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TD Asset Management (TDAM)

PRI reporting framework 2017

Basic Information [OO 01 - 09] Gateway asset class implementation indicators [OO 10 - 12]

Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Implementation not in other modules [SG 12 - 16] Innovation [SG 17]

Direct - Listed Equity Active Ownership

Engagement [LEA 01 - 16] Overview [LEA 01 - 02] Process [LEA 03 - 10] Process for engagements run internally [LEA 03 - 04] Process for engagements conducted via collaborations [LEA 05 - 06] General processes for all three groups of engagers [LEA 09 - 10] Outputs and outcomes [LEA 11 - 15] Communication [LEA 16]

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Investment policy

SG 01. RI policy and coverage (Not Completed)

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

SG 03. Conflicts of interest

03.1. Indicate if your organisation has a policy on managing potential conflicts of interest in the investment process.

Yes

03.2. Describe your policy on managing potential conflicts of interest in the investment process.

TDAM has a variety of potential conflicts of interest, including those which arise from being a member of the TD Bank Group. TDAM has implemented policies and procedures to assist it in identifying and addressing the conflicts of interest that arise during the course of its business. TDAM has structured its business so that where possible, conflicts of interest are avoided or mitigated. Where that is not possible, we endeavour to inform our clients of the potential conflicts of interest. In all respects, we aim to operate our business to ensure that, in all cases, we adhere to our fiduciary duty to act in the best interest of each client account. TDAM's potential conflicts are extensively disclosed in the relevant client disclosure document; the Statement of Policies and Client Relationship Disclosure.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios

04.1. Indicate if your organisation has a process for identifying and managing incidents that occur within portfolio companies.

Yes

04.2. Describe your process on managing incidents

          Our  investment teams (Portfolio Managers and sector analysts) will start the process as follow:
•	Through meetings / conference calls with the portfolio company / sell-side analysts / industry experts, our sector analyst would lead the discovery process to understand the cause of the incidents, what actions have or will be taken and any potential implications from both a financial and non-financial perspective. 
•	Portfolio Managers are involved through the process and are updated on the analyst's findings, in order to make appropriate investment decisions.

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