Public HTML RI reports - PRI reporting framework 2017

J O Hambro Capital Management Group

PRI reporting framework 2017

Basic Information [OO 01 - 09] Gateway asset class implementation indicators [OO 10 - 12]

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Implementation not in other modules [SG 12 - 16] Innovation [SG 17]

Direct - Listed Equity Incorporation

Overview [LEI 01 - 02] ESG incorporation in actively managed listed equities [LEI 03 - 12] Implementation processes [LEI 03 - 12] (B) Implementation: Thematic [LEI 09] (C) Implementation: Integration of ESG issues [LEI 10 - 12] Outputs and outcomes [LEI 14 - 16] Communication [LEI 17]

Direct - Listed Equity Active Ownership

Overview [LEA 01 - 02] Process [LEA 03 - 10] Process for engagements run internally [LEA 03 - 04] Process for engagements conducted via collaborations [LEA 05 - 06] General processes for all three groups of engagers [LEA 09 - 10] Outputs and outcomes [LEA 11 - 15] Communication [LEA 16] (Proxy) voting and shareholder resolutions [LEA 17 - 27] Overview [LEA 17] Process [LEA 18 - 22] Outputs and outcomes [LEA 23 - 26] Communication [LEA 27]

Export Public Responses

You are in Direct - Listed Equity Active Ownership » Engagement

Engagement

Overview

LEA 01. Description of approach to engagement

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate whether your organisation has a formal engagement policy.

Yes

01.2. Indicate what your engagement policy covers:

Conflicts of interest

Prioritisation of engagements

Transparency

Environmental factors

Social factors

Governance factors

Engagements following on from decisions

Other, describe

          Our approach to 'engagement', ie meeting with company management, covers any and all areas that we wish to discuss or improve

None of the above

01.3. Attach or provide a URL to your engagement policy. [Optional]

URL

Attach document

01.4. Provide a brief overview of your organization’s approach to engagement

As outlined in 1.2 above.

01.5. Additional information [optional]

LEA 02. Reasoning for interaction on ESG issues

02.1. Indicate the method of engagement, giving reasons for the interaction.

Type of engagement	Reason for interaction
Individual/Internal staff engagements	To influence corporate practice (or identify the need to influence) on ESG issues To encourage improved/increased ESG disclosure Other, specify We do not engage via internal staff
Collaborative engagements	To influence corporate practice (or identify the need to influence) on ESG issues To encourage improved/inreased ESG disclosure Other, specify We do not engage via collaborative engagements
Service provider engagements	To influence corporate practice (or identify the need to influence) on ESG issues To encourage improved/increased ESG disclosure Other, specify We do not engage via service providers

02.2. Additional information. [Optional]

Process

Process for engagements run internally

LEA 03. Process for identifying and prioritising engagement activities

New selection options have been added to this indicator. Please review your prefilled responses carefully.

03.1. Indicate whether your organisation has a formal process for identifying and prioritising engagement activities carried out by internal staff.

Yes

03.3. Additional information. [Optional]

Engagement activity is led by the fund manager responsible for the strategy in which the relevant company is held. It is unlikely that an individual fund manager will be involved in multiple initiatives at any one time.

LEA 04. Objectives for engagement activities

New selection options have been added to this indicator. Please review your prefilled responses carefully.

04.1. Indicate if you define specific objectives for your engagement activities.

Yes

We do not define specific objectives for engagement activities carried out by internal staff.

04.2. Indicate if you monitor the actions that companies take following your engagements.

Yes

Yes, in all cases

Yes, in the majority of cases

Yes, in the minority of cases

We do not monitor the actions that companies take following engagement activities carried out by internal staff.

04.3. Indicate whether your organisation defines milestones and goals for engagement activities carried out by internal staff.

Yes

04.5. Additional information. [Optional]

As our strategies are typically low turnover, our 'engagement' discussions are ongoing and long term in nature. This allows us to monitor progress.

Process for engagements conducted via collaborations

LEA 05. Process for identifying and prioritising collaborative engagement

New selection options have been added to this indicator. Please review your prefilled responses carefully.

05.1. Indicate whether your organisation has a formal process for identifying and prioritising collaborative engagements

Yes

05.3. Additional information [Optional]

LEA 06. Objectives for engagement activities

New selection options have been added to this indicator. Please review your prefilled responses carefully.

06.1. Indicate if you define specific objectives for your engagement activities carried out collaboratively.

Yes

Yes, for all engagement activities

Yes, for the majority of engagement activities

Yes, for a minority of engagement activities

We do not define specific objectives for engagement activities carried out collaboratively.

06.2. Indicate if you monitor the actions companies take following your collaborative engagements.

Yes

Yes, in all cases

Yes, in the majority of cases

Yes, in the minority of cases

We do not monitor the actions that companies take following engagement activities carried out collaboratively

06.3. Indicate whether your organisation defines milestones and goals related to engagement activities carried out via collaborations.

Yes

06.5. Additional information. [Optional]

The objective of any engagement, collaborative or individual, is to change company behaviour.

Process for engagements conducted with/on your behalf by service providers

LEA 07. Role in engagement process (Not Applicable)

LEA 08. Monitor / discuss service provider information (Not Applicable)

General processes for all three groups of engagers

LEA 09. Share insights from engagements with internal/external managers (Private)

LEA 10. Tracking number of engagements

10.1. Indicate if you track the number of engagements your organisation participates in.

Type of engagement	Tracking engagements
Individual / Internal staff engagements	Yes, we track the number of our engagements in full Yes, we partially track the number of our engagements We do not track
Collaborative engagements	Yes, we track the number of our engagements in full Yes, we partially track the number of our engagements We do not track and cannot estimate our engagements

10.2. Additional information. [OPTIONAL]

The Investment Director keeps records of all engagement activities between fund managers and company management.

Outputs and outcomes

LEA 11. Number of companies engaged with, intensity of engagement and effort (Private)

LEA 12. Engagement methods (Private)

LEA 13. Engagements on E, S and/or G issues (Private)

LEA 14. Companies changing practices / behaviour following engagement (Private)

LEA 15. Examples of ESG engagements (Private)

Communication

LEA 16. Disclosure of approach to ESG engagements

16.1. Indicate whether your organisation proactively discloses information on its engagements.

We disclose it publicly

We disclose it to clients and/or beneficiaries only

16.5. Indicate what engagement information your organisation proactively discloses to clients/beneficiaries.

Engagement information disclosed

Details of the selections, priorities and specific goals of engagement

Number of engagements

Breakdown of engagements by type/topic

Breakdown of engagements by region

An assessment of the current status of the engagement

Outcomes that have been achieved from the engagement

Other information

          We are happy to discuss all aspects of engagement, while respecting the confidentiality of the situation, with interested clients.

16.6. Indicate how frequently you typically report engagements information

Disclosed continuously (prior to and post engagements)

Disclosed quarterly or more frequently

Disclosed biannually

Disclosed annually

Disclosed less frequently than annually

Ad hoc/when requested

We do not proactively disclose it to the public and/or clients/beneficiaries.

16.8. Additional information. [Optional]

Previous Section Next Section