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Daiwa SB Investments

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.

other (1) description

          UNPRI
        

other (2) description

          Japanese Stewardship Code
        

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.

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

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.

 We invited two independent outside directors in March 2016 and have established the Responsible Investment Committee (RIC) consisting of these two directors and a responsible investment officer independent from the business execution line.

 

 The RIC is positioned as a subcommittee of the Board of Directors, and is checking potential conflicts of interest in the investment process, and making recommendations to the Board of Directors for further improvement.

 

 When exercising voting rights at companies which through capital or other means could influence the management of DSBI, in order to avoid a conflict of interest, we consult an external organization, adopt said organization’s standards of judgment, and then execute the voting rights based on said judgment.

 

 When anyone closely related to DSBI, including DSBI employees as well as active officers or other ranking employees at DSBI’s major shareholders, is a candidate for a seat on the board of directors or board of auditors, we abstain from voting to the extent that it would pose a risk of conflict of interest.

 

 2016年3月に独立社外取締役2名を招へいし、この2名の独立社外取締役と業務執行ラインから独立した責任投資オフィサーから構成される責任投資委員会を設置しました。

 

 責任投資委員会は取締役会の分科会と位置付けられており、投資プロセスにおける潜在的な利益相反をチェックするとともに、取締役会に対して更なる改善に向けた提言を行っています。

 

 また、議決権行使においては、

・資本関係等を通じ当社の経営に影響を及ぼす可能性がある企業の議決権行使においては、利益相反的状況を回避するため、外部機関に委任し、当該機関の判断基準を適用し、その判断に基づいて議決権行使指図を行うものとします。

・当社出身者並びに当社の大株主企業の現役役員もしくは重要な地位を占めていた出身者など、当社と何らかの密接な関係を有している者が候補者となっている取締役選任議案、監査役選任議案については、利益相反の疑いの程度に応じて棄権するものとします。

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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