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Maple-Brown Abbott Limited

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]

Maple-Brown Abbott considers that our investment approach and strategy provides strong foundations for the effective implementation of our ESG integration and engagement strategy.  Maple-Brown Abbott are long term investors, and our long term investment horizon enables us to take a genuine long term view on ESG risks, further, we conduct bottom-up, stock research and valuation in-house, as such our investment analysts, supplemented by the specialist ESG analyst, have the necessary expertise to identify and value ESG risks and incorporate them into the investment decision making process.  Similarly, our engagement initiatives are enhanced by the fact that we are often material, long term shareholders which engenders good access to, and an influential relationship with, the management of portfolio companies.


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.

The key elements of Maple-Brown Abbott’s conflicts management process as it relates to the investment process are as follows:

Representatives are remunerated by salary and performance related bonuses and do not receive a commission for providing any financial service.

The Code of Ethics (CofE) contains a section on Conflicts of Interest.  All dealings by employees must be in accordance with the CofE, and all staff annually attest compliance with this policy: 

  • obtain prior approval for all personal securities transactions from an executive director;
  • not deal in any stock where there is an uncompleted order in the market for any portfolio;
  • maintain a record of personal securities transactions (Register); and
  • make an annual declaration as to their personal securities transactions.
  • Compliance keeps copies of each employee’s Register. The Register is reviewed annually by the Managing Director.

Investment analysts are not permitted to trade a security on which they are preparing a new research report.

Any breaches of the CofE must be:

  • reported to a manager, the Head of Regulatory Compliance and Risk or to the COO; and
  • recorded in the Company’s Breach Register, which is tabled before the Audit and Compliance Committee (A&CC) every quarter and before the Board every year.

 

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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