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Avanz Capital

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. 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.

Avanz Capital’s policies and procedures have been designed to identify and properly disclose, mitigate, and/or eliminate applicable conflicts of interest. The investment process is covered by Avanz Capital's Code of Ethics that supports the highest standards of business ethics and professional conduct as enunciated by the CFA Institute. This applies to professionalism, integrity of capital markets, duties to clients, duties to employers, investment analysis, and conflicts of interest.

An Advisory Committee for Avanz Capital products reviews, assesses and approves or disapproves conflicts of interest. 

03.3. Additional information. [Optional]

Avanz Capital distributes its Compliance Manual, which contains the conflicts of interest policy, to each employee upon the commencement of employment, annually, and upon any material change to the Manual. Employees  have to sign a Compliance Manual acknowledgement  Form. Employees are to notify the CCO/CFO promptly if it appears that any actual or apparent conflict of interest has not been appropriately addressed. 

SG 04. Identifying incidents occurring within portfolios (Private)