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Unigestion SA

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. 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.

FINMA requires all regulated firms to manage the cases of conflicts of interest fairly, both between itself and its clients and between clients. Furthermore, firms are also required to pay due regard to the interests of their clients and treat them fairly.
Under Swiss law, a regulated legal entity is to implement the following measures in order to mitigate the risk of conflicts of interest:

  • establishment of a sound organization by “constructing” Chinese walls, i.e. by maintaining internal arrangements restricting the movement of sensitive and confidential information within the Company or the group;
  • separate supervision and reporting lines in relation to those departments whose interests may conflict;
  • putting in place written procedures in relation to the Management of certain conflicts including amongst others a gift policy and personal account dealing policy, as contained in this Code; and
  • as a general rule, avoidance of conflicts by eliminating soft commissions and commission-sharing agreements or any other aspect of equivalent remunerated services that may create conflicts of interest. Nevertheless, some exceptions related to these agreements may be allowed subject to a detailed analysis and formal approval from Management.

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.

04.2. Describe your process on managing incidents

          We monitor our portfolio company's newsflow and their ESG ratings through our external ESG reasearch provider Vigeo EIRIS.
        

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