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Carve Capital AB

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.

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.

02.4. Additional information [Optional].


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.

Carve Capital has a written policy and procedures governing employees' personal account dealing (all personal trading must be approved by Carve Capital in order to avoid potential conflicts). Trading is not allowed in securities or other financial instruments in which Carve Capital, Carve or other Brummer & Partners' companies/funds is executing a transaction, considering executing a transaction or conducting research.

Carve Capital is not allowed to deal in financial instruments with Carve and the same rules for staff and principals also apply for Carve Capital. Carve Capital has internal instructions on how to proceed when investing in funds under its management.

Carve Capital has no relationships with for example associated brokers/dealers that may affect its trading flexibility. Carve retains trading relations with numerous counterparties and seeks to execute trades with counterparties that offer the best services/products compared to price.

Any situation or potential conflict of interest that would or could question our number one priority – to manage Carve as proficiently as possible, is taken very seriously. Therefore, apart from having written policies and procedures, Carve has a sound business culture encompassing professional and sound values for managing money and risk but also business behaviour.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Not Completed)


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