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TD Asset Management (TDAM)

PRI reporting framework 2017

You are in Strategy and Governance » Investment policy

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. 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。

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. 補足情報。 [任意]


SG 04. Identifying incidents occurring within portfolios

04.1. 組織では、ポートフォリオ対象企業において発生するインシデントの特定と管理を行うプロセスを設定しているかどうか明示して下さい。

04.2. インシデントを管理するプロセスを説明して下さい

          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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