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Neuberger Berman Group LLC

PRI reporting framework 2017

You are in Strategy and Governance » Governance and human resources

Governance and human resources

SG 07. RI roles and responsibilities

07.1. 組織にある役職、それぞれについて責任投資を監督や実施する責任があるかどうかを記載してください。


          Head(s) of research (3)
          Head of ESG - 2017 hire

Other description (1)

07.2. RIの監督/説明責任または実施責任を担う役職について、このような責任をどのように果たすのか記載してください。

Our firm’s President and CIO - Equities, who is also a board member of the firm is the chair of our ESG Advisory Committee and has ultimate responsibility for oversight/accountability for our responsible investment practices.  He is joined in the ESG Advisory Committee by senior executives whose functions are critical to overseeing and implementing our RI and ESG policies and practices including:

  • Head of Global Equity Research
  • Manager of External Research
  • Head of Investment Grade Research and Cash/Short Duration Credit
  • Head of Non-Investment Grade Credit Research
  • Head of Corporate Social Responsibility
  • Head of EMEA and Latin America
  • Global Head of Marketing and Client Service
  • Global Head of RFP, Marketing
  • Principal, Private Equity
  • Associate General Counsel
  • And key portfolio managers who are leaders in the ESG/SRI fields (Co-Head of SRI Group, Co-Head of our Emerging Markets Debt Group)

The committee meets on an ongoing basis to discuss/review our firm-wide strategy of RI implementation and each member is responsible for cascading this strategy and carrying it out in his/her division whether it be research, client service, portfolio management, proxy voting , etc.

We made a conscious decision not to compartmentalize or isolate the function to one staff  or department so that the opportunity and responsibility can be shared by a number of key players who are integral to our investment process.

In 2016 we felt it was important to form an ESG Working Group with representation across Research, Strategy, Marketing and Client Service and Product Management to discuss ESG related topics in depth and present findings to the ESG Advisory Committee as needed.  The ESG Working Group meets bi-monthly or more frequently as needed and develops framework for ESG topics and works on related projects to maintain our momentum on our ESG goals as a firm.

07.3. 組織にいる専任の責任投資担当者の人数を記載してください。 [任意]

7 Number

07.4. 補足情報。 [任意]

The number above includes our SRI Group.

SG 08. RI in performance management, reward and/or personal development

08.1. 組織のパフォーマンス管理、報奨や個人の能力開発プロセスに責任投資の要素があるかどうかを記載してください。


08.2. 報告年度に取締役が責任投資に関連したスキルや知識を開発し、維持するために行った活動について説明してください。

Our President and CIO, who is also a board member of Neuberger Berman, is the chair of our ESG Advisory Committee. He is extremely active in the setting and implementation of our RI strategy and its implementation. Our ESG Advisory Committee members attend events and sessions including panels and receive industry briefings to stay current on ESG/RI issues.




          Head(s) of research (3)



その他の役職 [SG 08から]
          Head of ESG - 2017 hire

08.3. 組織の責任投資に関連したパフォーマンス管理、報奨や個人の能力開発プロセスについて詳細を説明してください。

The ESG Advisory Committee (comprised of senior executives from all major relevant business lines) is ultimately responsible for the success of ESG implementation therefore at a high level, this responsibility would be incorporated in the performance reviews of these individuals and be a component in determining their compensation.

Each member of the ESG Advisory Committee as well as the broader groups of analysts and portfolio managers who report in to them receive opportunities to become educated and engaged on RI/ESG issues that are relevant to them through panels, briefings, and training such as that done by Bloomberg personnel on ESG data.

The NB SRI Team incorporates ESG related metrics into the group performance review process as they relate to the materiality of portfolio management, individual performance and professional development, and overall contribution to the team.