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Breckinridge Capital Advisors

PRI reporting framework 2017

You are in Strategy and Governance » Investment policy

Investment policy

SG 01. RI policy and coverage

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

01.1. Indicate if you have an investment policy that covers your responsible investment approach.

01.2. Indicate the components/types and coverage of your policy.

Select all that apply

Policy components/types

Coverage by AUM

01.4. Indicate what norms you have used to develop your investment policy that covers your responsible investment approach.

other (1) description

          Breckinridge's responsible investment policy has been informed by MSCI, Sustainalytics, CDP, CERES, SPI, AASHE and SASB.
        

other (2) description

          In 2016, our goal was to standardize our engagement process, while simultaneously deepening the level of dialogue with companies on ESG issues.
        

other (3) description

          In 2017, our goal is to identify Breckinridge ESG investing's key performance indicators.
        

01.6. Provide a brief description of the key elements, any variations or exceptions to your investment policy that covers your responsible investment approach. [Optional]


SG 02. Publicly available RI policy or guidance documents

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

02.1. Indicate which of your investment policy documents (if any) are publicly available. Provide a URL and an attachment of the document.

URL/Attachment

02.4. Additional information [Optional].

Above we have attached our sustainable investing brochure, which provides an overview of our approach to ESG integration and sustainable investing. We have also attached papers that provide an overview of our frameworks for analyzing both municipal and corporate bonds (asset class-specific guidelines). Breckinridge's sector specific guidelines are not publicly available. In 2016, Breckinridge launched a quarterly ESG Newsletter. Our ESG Newsletter features insights about Breckinridge's ESG integration approach, analysis of key industry trends, and commentary on the core thematic issues in the space. For more, please visit: http://www.breckinridge.com/insights/?type=esg-newsletter


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.

Management of conflicts of interest are covered in several policies and procedures, most notably in our Code of Ethics, Proxy Voting Policy and Allocation Policy. We expect employees to adhere to the highest standards of ethical conduct and to act in our clients’ best interests. Employees are expected to disclose any potential conflicts of interest with clients, including personal activities that could cause such conflicts. Generally, employees are not permitted to invest in securities that would be eligible for client portfolios, nor are they permitted to invest in any of the company's strategies. Although Breckinridge does not regularly receive proxy ballots for fixed income securities, the firm has a policy to vote proxies in the best interest of the shareholder. Additionally, when allocating investment opportunities, we seek to treat all clients in a fair and equitable manner. To the extent that the amount of bonds is insufficient to fill the entire inquiry, priority of the client portfolios will generally be chronological, with those that were in the queue first receiving allocations.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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