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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. 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。

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. 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

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

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