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Vontobel Holding AG

PRI reporting framework 2017

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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

          World Business Council for Sustainable Development
        

other (2) description

          Convention on Cluster Munitions (CCM) & Ottawa Treaty (the Anti-Personnel Mine Ban Convention)
        

other (3) description

          ISO 14001 & 26000
        

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].

There are different approaches for different boutiques. Details are provided in the respective sections of this questionnaire.

  • The Exclusion Screen of Cluster Bomb and Land mine producers applies to all assets.
  • Specific policies on voting apply to a majority of all assets.
  • Other policies apply to a minority of all assets

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.

Vontobel's code of conduct refers to general principles of good business behaviour and also covers corruption aspects and a fair and honest relationship with our clients. The code of conduct applies to all business segments including asset management. Further details on the avoidance of corruption are outlined in the employee handbook.

Link to the website with the Vontobel Code of Conduct: https://www.vontobel.com/CH/EN/Corporate-Responsibility-Social-Sustainability

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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