Public HTML RI reports - PRI reporting framework 2017

Triodos Investment Management B.V.

PRI reporting framework 2017

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

Investment policy [SG 01 - 04] 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]

Direct - Inclusive Finance

Context [IFD 01 - 06] PIIF Principle 1: Range of services [IFD 07 - 10] PIIF Principle 3: Fair treatment [IFD 14 - 17] PIIF Principle 4: Responsible investment [IFD 18 - 24] PIIF Principle 5: Transparency [IFD 25 - 27] PIIF Principle 6: Balanced returns [IFD 28 - 31] PIIF Principle 7: Standards [IFD 32 - 34]

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You are in Direct - Inclusive Finance » PIIF Principle 2: Client protection

PIIF Principle 2: Client protection

IFD 11. Public endorsement of the Client Protection Principles

Possible action:

Publicly endorse the Client Protection Principles (CPP).

11.1. Indicate if you have publicly endorsed the Client Protection Principles.

Yes

11.2. Additional information. [Optional]

The Client Protection Principles are explicitly included in our due diligence process.

IFD 12. Provide training and assistance for investees implementing the Client Protection Principles

12.1. Indicate if you provide training or assistance for your investees in implementing the Client Protection Principles and/or other client protection measures.

Yes

12.2. Additional information.

The Client Protection Principles are explicitly included in our due diligence process and are an essential part of our investment process. As part of our relationship management, we have a continuous dialogue with all our investment partners and monitor the implementation of the client-protection measures in their daily operations during follow up and review visits.

If we believe there is a need for improvement in this area, we include this in our relationship management and monitor progress over time.

With our equity investees, we make sure to include these discussions in the board and shareholder meetings.

IFD 13. Include the Client Protection Principles in investment policies

13.1. Indicate if you include the Client Protection Principles and/or other client protection measures in your investment policies.

Yes

13.2. Indicate if this is systematically applied.

During due diligence

Yes

In covenants in loan agreements and/or in financing or shareholder agreements

Yes

13.3. Indicate if you encourage investees to apply for Client Protection Certification. [Optional]

Yes

13.4. Additional information. [Optional]

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