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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. 責任投資アプローチをカバーする投資ポリシーを策定しているかどうかを明示してください。

01.2. ポリシーの構成要素/種類、対象を示してください。


01.4. 組織の責任投資アプローチをカバーする投資ポリシーの策定時に使用した基準を明示してください。

01.6. 責任投資アプローチをカバーする組織の投資ポリシーの重要な構成要素、バリエーション、例外事項を簡潔に説明してください。 [任意]

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. 一般に入手できる組織の投資ポリシー文書を記載してください。その文書のURLを記入し、該当文書を添付してください。




02.4. 補足情報。 [任意]

SG 03. Conflicts of interest

03.1. 組織として、投資プロセスにおける潜在的な利益相反を管理するポリシーを策定しているかどうかについて明示して下さい。

03.2. 投資プロセスにおける潜在的な利益相反を管理するポリシーについて説明してください。

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. 補足情報。 [任意]

SG 04. Identifying incidents occurring within portfolios (Private)